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TableofContents

IntroductiontotheCreatinganEffectiveGoverningBoardGuidebook
Purpose
WhyEffectiveCharterSchoolBoardsAreCriticalToTheSuccessOfTheCharterSchool
Movement
StructureOfTheGuidebook
AFewPointstoConsider...
TheApproach

Chapter1:BuildingtheFoundationforanEffectiveCharterSchoolGoverningBoard
CommonGovernanceProblemsFacingCharterSchools
BarriersToBoardEffectiveness

DesigningyourCharterSchoolGovernanceStructure:FirstSteps

DevelopingaGovernanceStructure
ThreeDominantModelsOfCharterSchoolBoardGovernance
GroundingtheCharterSchoolBoardinaSolidModelofGovernance:FundamentalAssumptions
DistinctionBetweenGovernanceAndManagement

EndsAndMeansDistinction

ClarityandAgreementAboutWhoDoesWhat

SpecificRolesAndResponsibilitiesOfTheCharterSchoolBoard

MatchingtheRoleoftheBoardwiththeCharterSchoolsStageofOrganizationalDevelopment

BoardDevelopmentAsAProcess
BasicElementsOfBoardDevelopment
CriticalRoleoftheBoardDevelopmentCommittee
CriticalRoleoftheFullBoard

Chapter1:ToolsYouCanUse

SamplesOfFoundationDocuments
EssentialResourcesforDefiningBoardRoles,ResponsibilitiesandGovernancePhilosophy
RolesOfTheBoardOfDirectors

Chapter2:IdentificationAndRecruitmentOfBoardDirectors
Introduction
ElementsofanEffectiveRecruitmentProcess
SampleRecruitingTimetable
Sidebar-ShouldFamilyMembersServeOnTheSameBoard?

Chapter2:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforBoardRecruitment
SampleCharterSchoolBoardDirectorPositionDescription
BoardMemberProfileAgreement
CharterSchoolBoardApplicationForm
BoardOfDirectorsNominationForm


CharterSchoolBoardProfileWorksheetSample1
CharterSchoolBoardProfileWorksheetSample2

Chapter3:OrientationandTrainingofBoardDirectors

Introduction
BoardOrientationTimetable
DeterminingOrientationandTrainingNeedsofBoardDirectors
TheBoardDirectorManual
StrategiesforBoardOrientation
InvolvementofPastandCurrentBoardDirectorsinOrientationandTraining
ALastBitofAdvice

Chapter3:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforBoardOrientationandTraining
SampleBoardofDirectorsHandbook
SampleBoardDirectorOrientationOutline
ParliamentaryProcedureOverview

Chapter4:BoardDecisionMakingAndMeetings
BasicAssumptions

BoardDecisionMakingModel
CharterSchoolBoardGovernanceFrameworkChart
ElementsOfEffectiveDecision-Making

PolicyMaking:ACriticalAreaofBoardDecisionMaking
HowPolicyIsCreated
BoardPolicyManual

ToolstoSupportEffectiveBoardDecisionmaking
Decision-MakingFlowchart
DecisionMatrix
TheRoleOfTheExecutiveCommitteeInFacilitatingEffectiveBoardDecisionMaking
TimeManagementofBoardMeetings
ConsentAgendas
AnnualCalendarOfMajorBoardDecisions
OrganizationalDashboard
ProvidingTheBoardTheInformationItNeedsToMakeEffectiveDecisions

Chapter4:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforBoardDecision-makingandMeetings
ExecutiveCommitteeAgendaPlanningForm
QuestionsforMakingSoundDecisions
SampleBoardMeetingAgenda

SummaryoftheRolesofVariousPersonsandGroups
PolicyDevelopmentSteps
BoardCommunicationPlan
BoardMeetingFeedbackForm


SampleBoardOperationsCalendar

Chapter5:TheBoardRoleInStrategicThinkingAndPlanning

WhyCharterSchoolBoardsNeedToThinkAndPlanStrategically
RoleOfTheBoardInStrategicPlanning
StepsoftheStrategicPlanningProcess
EffectiveStrategicPlanningPractice
KeepingYourStrategicPlanVisible
StrategicThinkingNotJustDuringTheStrategicPlanningProcess
ThinkingandActingStrategically:EncouragingVisionaryBoardLeadership
TheNewProfileofCharterSchoolBoardLeadership
BarrierstoVisionaryBoardLeadership
StrategiesToFosterVisionaryBoardLeadership

Chapter5:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforStrategicPlanning
StepsOfTheStrategicPlanningProcess
PlanningTerminology
StrategicPlanningCommittee
GeneralPurpose
AppointmentsandComposition
Responsibilities
CoverLetterforMailingtoKeyInformants
ABCCharterSchoolStrategicPlanningProcess
CriticalIssuesWorksheet
SampleStrategicPlanningTimetable

Chapter6:LegalAndFinancialResponsibilitiesOfCharterSchoolBoards
FoundationfortheBoardsLegalandFinancialResponsibilities
LegalResponsibilitiesofBoardDirectors
FinancialOversightbytheBoardofDirectors
Board,CommitteeandStaffRolesinFinancialOversight
AvoidingConflictsofInterest
RiskManagement

Chapter6:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforUnderstandingBoardLegalandFinancialIssues
SampleConflictofInterestStatementsforBoardofDirectors
BoardMemberAnnualDisclosureStatement
ConcerningPossibleConflictOfInterest
BoardConfidentialityPolicy
BoardLiabilityQuestionnaire

Chapter7:BoardStaffRelations
RoleOfTheBoardInSelectingAndSupportingTheAdministrator
What'sInAName?TheNatureOfTheBoard-StaffRelationship
EffectiveHiringorSelectionProcessfortheCharterSchoolAdministrator
WrittenJobDescriptionsforBoardDirectorsandtheAdministrator


WrittenAdministratorJobDescription

ClearDefinitionOfHowTheRelationshipBetweenBoardAndAdministratorWorks

MaintainHealthyAndMutuallySupportiveRelationshipBetweenTheBoardChairAndCharter
SchoolAdministrator

MaintainAnEffectiveBoardRecruitmentAndOrientationProgram

MaintainOngoingClarityRe:BoardPolicyAndOversightFunctions

EvaluatingTheCharterSchoolAdministrator

ContractingOut:OtherStaffingModelsandImplicationsforBoardGovernance

PrivateManagementFirms

TeacherCooperatives

CommonAreasofBoardandStaffConflict

ConflictBetweenBoardDirectors

ConflictBetweenTheBoardAndExecutive

ShouldPaidStaffOfTheCharterSchoolServeOnTheCharterSchoolBoard?

Chapter7:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforBuildingBoard-StaffRelations
DivisionofRolesBetweenBoardandAdministrator
BoardandStaffRolesWorksheet
StandardsRatingSection
PerformanceMeasuresRatingSection
SchoolLeadership
ParentInvolvementandCommunityPartnerships
Student-CenteredLearningClimate
ProfessionalDevelopmentandHumanResourcesManagement
TeacherObservationandInstructionalSupervision
InstructionalLeadershipImprovingTeachingandLearning
SchoolManagement&DailyOperations
InterpersonalEffectiveness

Chapter8:BuildingStrongParentAndCommunityRelations
Introduction
PromotingParentandFamilyInvolvement
UseofAdvisoryCommittees
LinkingParentAndCommunityInvolvementToPlansForStudentAchievement
ForgingAlliances,PartnershipsandCollaborations

Chapter8:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforBuildingStrongParentandCommunityRelations
ModelParent/FamilyInvolvementPolicy

Chapter9:BoardDirectorMotivationAndAccountability
Introduction
BoardDirectorMotivationModel
RecognitionofBoardDirectors
RecognitionAsAMotivationalStrategy
OtherMotivationalStrategies


AccountabilityandReportingTools
ToolsforIndividualAccountability
WrittenBoardDirectorPositionDescription
AnnualBoardSelfEvaluationProcess
OngoingIndividualAccountabilityContacts
PersonalGoalSettingByBoardDirectors
OngoingBoardLeadershipDevelopment

Chapter9:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforBoardDirectorMotivationandAccountability
BoardLeadershipSuccessionProcess
GuidelinesforLeadershipDevelopmentPlans
Leadershipdevelopmentmethods:
PreparingforBoardLeadershipSuccession

Chapter10:TheBoardatWork:EffectiveCommittees
Introduction
TypesofCommittees
TheCommitteeStructure
EffectiveBoardCommittees:TheBasics
WhyCommitteesDontWork
ElementsOfCommitteeEffectiveness
AdditionalPracticestoEnhanceCommitteeEffectiveness

Chapter10:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesForEffectiveCommittees
BoardCommitteeAssignments
BoardCommitteePreferenceForm
AnnualBoardCommitteeReport

Chapter11:BoardRoleInFundraising
WhyCharterSchoolsNeedToEngageInFund-raising
TheRoleoftheBoardinFund-raising
Fund-raisingPrinciplesforBoardDirectors
CreatingaStrongFundDevelopmentCommittee
TrainingtoSupportTheBoardsFund-raisingRole
CreatingAFundDevelopmentPlan
DevelopingTheFund-raisingCase
TypesOfFund-RaisingActivities
LevelsofBoardInvolvementinFund-raising

Chapter11:ToolsYouCanUse
SamplesOfFoundationDocuments
EssentialResourcesforBoardInvolvementinFund-raising

Chapter12:BoardSelfAssessment
Introduction
LeadershipSupportForTheContinuousImprovementEffort


IndicatorsofBoardEffectiveness
AssessmentToolsWithGoalSettingAndFollowThrough
UseofRetreats
AdditionalToolsforBoardAssessmentandImprovement

Chapter12:ToolsYouCanUse

SamplesOfFoundationDocuments
EssentialResourcesforBoardSelf-Assessment
BoardGovernanceIndicatorsAssessment

IntroductiontotheCreatinganEffectiveGoverningBoard
Guidebook
Purpose
ThewordgovernderivesfromaGreekwordmeaningtosteeraship.JohnCarver,anexperton
boardgovernanceandtheauthorof
BoardsThatMakeaDifference
,writes,"Governanceisnotabout
budgetlines,personnelissuesandfieldtripapprovals.Itisaboutvaluesandvisionandstrategic
leadership.Thereinventionoftheschoolboardcallsforanewparadigm,afreshreconstructionof
whattheworkoftheboardistobe.

Likeotherorganizations,charterschoolsoftenfacechallengesinbuildingeffectiveboardsofdirectors.
Manycharterschoolsreportseriousdifficultyincreatingandoperatinggoodworkingboards.Tensions
amongboarddirectors,conflictbetweenboardandstaff,andnonfunctioningboardsareamongthe
problemsthathaveplaguedcharterschoolsinmanyplaces.Thenonprofitworldisrichwithworkshop
opportunitiesandguidesonnonprofitboardeffectiveness.Localdistrictboardsofeducationusuallyare
abletodrawuponstateandnationalschoolboardassociationsforconsultationandinstruction.
However,thereislittlespecificguidanceonthedevelopmentandeffectivenessofcharterschoolboards.

The
CreatinganEffectiveGoverningBoardGuidebook
offerscharterdevelopersinformationonhowto
prepareandsustainboarddirectorstoleadanautonomouspublicschool.Itattemptstobuildsuponthe
bestofnonprofit,districtandprivateschoolgovernancetrainingandresources.

WhyEffectiveCharterSchoolBoardsAreCriticalToTheSuccess
OfTheCharterSchoolM ovement

Theabilityofthecharterschooltocarryoutitsmissionandvisiondependonthestrengthofits
organizationalfoundation.Acriticalelementofthisfoundationisthecharterschoolboarditself.The
boardcarriesthemissionoftheschoolintothecommunityandbringstheviewsofthecommunityinto
theschool.Itsimportancetothehealthofthecharterschoolanditsfinancialbaseisprimary.

Charterschools,afterall,areorganizations.Whilecharterschoolscanbeorganizedindifferentways,
increasinglytheyexistasindependent,freestandingentitiesapartfromthetraditionalpublicschool
system.Ifweseeafutureforcharterschoolswithinthebroadermovementofschoolreformin
America,weneedtoseeourselvesasbuildingorganizationsthatwilllast,organizationsthatarehealthy,
thriving,andcontinuouslylearningandimprovingorganizationsthatarecapableofsustainingdramatic
improvementsinstudentachievement.

Thecharterschoolgoverningboardisacriticalelementindevelopingthiskindoforganization.Charter
schoolboardswillbeoneoftheimportantplaceswhereanewgenerationofschoolleadershipdevelops
andstrengthensitsskillbase.Theseleaderswillhaveimpactwithinthecharterschoolsonwhose
boardstheyserveandtheycanhaveimpactbeyondcharterschoolsinthebroadercommunity.
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Specificallycharterschoolsneedboardsforsomeofthefollowingreasons:

Boardsfulfillalegalresponsibility.
Aboardofdirectorsisalegalrequirementforacharter
schoolorganizedasanonprofitcorporation.Charterschools,aspublicschools,servethepublic
anddonotoperateforanyindividual'spersonalgainandtheyareeligibleforspecialtreatment,
suchastaxexemptions.Thecharterschoolisrequiredtohaveagoverningboardtoensurethat
itsoperationscontinuetofocusonservingthepublic.

Boardsprovideoversightfunctions.
Inexchangefordirectandindirectfinancialassistance
fromthestateandfederalgovernments,statecharterschoollegislationaswellasnonprofit
corporationlawrequiresthatagroupofindividualsvoluntarilyserveonaboardofdirectorsand
actasguardiansofthe"publictrust."Thisstructuremakestheschool'smanagementaccountable
toadiversegroupofpeoplewhohavethegeneralinterestofthecharterschoolatheart,arenot
directlyinvolvedintheoperationalactivitiesoftheschool,and,duetothevoluntarynatureof
1
theboard,caneffectivelyprovidefinancialoversightsincenopersonalfinancialgainisinvolved.
Theabilityoftheboardtoremainobjectiveiscriticaltoitseffectivenessinguidingthecharter
school.

Boardspromotethecharterschool'smission.
Inadditiontofulfillinglegalrequirements,a
charterschoolneedsaboardofdirectorscomposedofindividualswhosupporttheschool's
mission,believeinit,andseektopromoteit.Advocatingforthecharterschoolandits
educationalphilosophyisanimportantfunctionoftheboardandinvolvespromotingthemission
andgoalsofthecharterschoolwithinthecommunityandwiththewidereducationalreform
arena.

Boardshelptoraisefunds.
Theabilitytoraisefundsisanimportantmeasureofaboard's
effectivenessinservingacharterschool.Boarddirectorswhoareinfluentialinthecommunity
canoftensuccessfullyelicitmajorcontributionsfromavarietyofprivateandbusinesssources.
Buildinganactivegroupoffinancialsupporterswhoregularlydonatemoneytothecharter
schoolwillincreasetheresourcesavailabletoimplementtheeducationalprogram,makingit
easierforthecharterschooltofulfillitsmissionandachieveitsgoals.

Insomestates,boardmembersofnonprofitorganizationsmaybepaid.Checkwiththecharterschoolresource
centerortheofficeoftheSecretaryofStateinyourstatetodeterminewhatthelawrequiresandallows.

StructureOfTheGuidebook

TheCreatinganEffectiveGoverningBoardGuidebookcontainsthirteenchapters.Eachchapter
addressesacriticalchallengefacingcharterschoolgoverningboards.Eachguidebookchapteris
structuredtoincludethefollowingcomponents:

Basicprinciples,conceptsandbestpracticesrelevanttothechaptertopic.
Modelsofessentialdocuments,proceduresandpracticesgatheredfromcharterschoolsand
otherrelevantexamplesthatwillbeapplicabletotheboardofanewcharterschool.
Worksheets,diagnostictoolsandplanningformsthatcanbeusedtodeveloptherelevant
documents,proceduresandpractices.
Essentialresourcesrelevanttothechaptertopic.

Thefollowingtablesummarizestheguidebookstructure,listingthechaptertitleandcriticalboard
buildingchallengeintheleftcolumnandcorrespondingkeyconceptsandbestpracticesintheright
column:

ChapterandCritical
BoardBuildingChallenges

KeyConceptsandBestPractices
RelevanttoChapter

Chapter1BuildingtheFoundationforan
EffectiveCharterSchoolBoard
Howdoes
acharterschoolboardclearlydefineitsroles,
responsibilitiesandphilosophyofgovernance?

Writtendescriptionofboardrolesand
responsibilities.
Formalprocessforboarddirector
developmentledbyaboarddevelopment
committeesupportedbythefullboardof
directors.
Writtenjobdescriptionforindividualboard
directors.
Clearrecruitmentprioritiesbasedon
analysisofcurrentboardandfutureskills
andknowledgeneedsoftheboard.
Commitmenttopersonalcontactwith
prospectiveboarddirectors.
Formalorientationsessionstoprovide
criticalinformationbeforeindividualsare
broughtontotheboardofdirectors.
Formaltrainingandorientationbasedon
skillsandknowledgeboarddirectorswill
needtobeeffective.
Useofwrittenboarddirectormanual.

Chapter2IdentificationandRecruitment
OfBoardDirectors
Howdoesthecharter
schoolboardrecruitboarddirectorsthatare
committedtothecharterschoolandpossess
skills,knowledgeandotherattributesneededin
orderfortheboardtoeffectivelycarryoutits
responsibilities?

Chapter3OrientationandTrainingOf
BoardDirectors
Howdocharterschool
boarddirectorsacquiretheskillsand
knowledgetheyneedtobeeffectiveleaders
anddecisionmakers?
Chapter4BoardDecisionMaking
How
doesthecharterschoolboardmakeeffective
decisions?

Useofdecisionmakingflowchart.
Formalprocessforpolicydevelopmentby
theboard.

Chapter5BoardRoleInStrategic
PlanningAndThinking
Howcanthe
charterschoolboardorganizeitselfinorderto
functionasaneffective,futurefocused
leadershipteam?
Chapter6LegalAndFinancial
ResponsibilitiesOfBoards
Howdoesthe
charterschoolboardcarryoutitslegaland
financialoversightresponsibilities?

Decisionmakingmatrixtocommunicate
rolesandresponsibilitiesin
decisionmaking.
Functioningexecutivecommittee.
Organizationaldashboardtogaugecharter
schoolprogressandeffectiveness.
Providingtheboardwiththenecessary
informationtomakeeffectivedecisions.
Useofaboardbookthatcontainsagenda
andinformationpacketinadvanceof
boardmeetings.
Commitmenttoandactiverolein,strategic
planning.
Buildingdialogoncriticalissuesintoevery
boardmeeting.

Wellwritten,uptodatebylawsandother
governancedocuments.
Standardsofconductforboarddirectors.
Financialoversightandriskmanagement
policiesandproceduresinplace.
Chapter7BoardStaffRelations
How
Clarityregardingdistinctrolesand
doesthecharterschoolboardbuildand
responsibilitiesoftheboardandthecharter
maintainaneffective,mutuallysupportive
schooladministrator.
workingrelationshipwiththecharterschool
Effectiveprocessforhiringthecharter
administrator?
schooladministrator.
Annualadministratorperformancereview
process.
Chapter8BoardCommunity/Parent
Formalplanforparents,familyand
Relations
Howdoesthecharterschool
communityinvolvement.
boardmaintainstrongparentandcommunity
Useofadvisorycommittees.
relations?
Boardleadershipinbuildingcommunity
collaborationsandalliances.
Chapter9BoardDirectorMotivation
Annualboardselfevaluationprocess.
AndAccountability
Howdoesthecharter
Commitmenttoboarddirectorrecognition
schoolboardfosterandmaintainahighlevelof
andappreciation.
boarddirectormotivationandaccountability?
Personalgoalsettingbyboarddirectors.
Chapter10TheBoardatWork:Effective Writtenjobdescriptionsforallcommittees.
Committees
Howdoestheboarddevelop
Annualcommitteecalendarofmajor
andmaintainacommitteestructurethat
decisionsandmeetings.
enhancesitsoveralleffectiveness?
Regularreportingtoholdcommittees
accountable.
Chapter11BoardRoleInFundRaising
Fundraisingresponsibilityasaformal
Howcanthecharterschoolboardplayan
expectationofboarddirectorship.
effectiveroleinfundraising?
Standingboardfundraisingcommittee.
Trainingtosupporttheboardsrolein
fundraising.

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Annualfunddevelopmentplanthat
incorporatesavarietyoffundraising
strategies.
Chapter12BoardSelfAssessment

Useofformalboardassessmentsurveys.
Howdoesthecharterschoolboard
Useoftheboardretreats.
continuouslyenhanceitseffectiveness?
Developmentofformalplanforboard
improvementplan.
Chapter13Resources
Wherecancharter Utilizeavarietyoflocal,state,andnational
schoolboardsfindtheresourcesneededto
resourcesforboarddevelopment.
continuouslyenhancetheireffectiveness?

AFewPointstoConsider...

ItTakesTimetoBuildanEffectiveCharterSchoolBoard
Thereisnogettingaroundit:developingeffectiveboardsrequiresaserioustimecommitment.Already
busycharterschooldevelopersandorganizerswillfindithardtomakethiscommitment.Howeverthe
investmentoftimeandenergycreatesaboardthatbecomesaselfrenewingresourcethataddsvalueto
thecharterschool.

TheyreOnlyVolunteers?
Oneofthekeyassumptionsthroughoutthegovernanceguidebookisthatthevolunteerstatusofboard
directorscanneverbeusedasexcuseforlackofperformance.Theverysuccessofthecharterschool,
whichistosaythesuccessofchildren,requiresanoexcusescommitmentonthepartoftheboard
thesamecommitmentbythewaythecharterschoolsexpectfromtheirpaidprofessionalstaff.Whileit
isabsolutelytruethatsomeofourboarddirectors,especiallythosewhoarelowincomeand/orsingle
parents,facemajorchallengesoftheirownintheirpersonalandworkinglives,thecharterschoolboard
must,nonetheless,expectacommitmentandalevelofperformancecommensuratewiththe
considerableauthoritythataboardexercises.Inthesamewaythecharterschoolwilllookforwaysto
overcomeexternalbarrierstostudentlearning,thecharterschoolboardmustcommititselftoremoving
barrierstohighperformancebytheboardofdirectors.Thesuccessofthecharterschoolinfactthe
successofthecharterschoolmovementrestsonthesuccessofthecharterschoolboard.

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TheApproach

Thisguidebookassumesanonprofitboardofdirectorsapproach.Somecharterschoolsmaynotbe
quitelikethistheymayhavemorehandsonworkingboards"inwhichmembersarealsoinvolvedin
daytodayoperationsofthecharterschool,oryoumaybepartofsomebroadercorporateentity.In
anycase,thematerialinthisguidebookshouldbesomewhatapplicablebecausethesamefundamental
issuesaregoingtoexistforanyschool.Forafullerdescriptionofthenonprofitmodelofgovernance,
seeChapter1.

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Chapter1:BuildingtheFoundationforanEffectiveCharter
SchoolGoverningBoard

CriticalBoardBuildingChallenge:Howdoesacharterschoolboardclearlydefineitsroles,
responsibilitiesandphilosophyofgovernance?

CommonGovernanceProblemsFacingCharterSchools

AccordingtoDr.ChenziGrignano,directoroftheCharterSchoolsProjectatDuquesneUniversity,
2
charterschoolshavebeenplaguedbysomeofthefollowinggovernanceproblems:

1. Meddlesomeboardswhobecomeentangledwithissuesnormallyentrustedtoadministratorsor
teachers
2. Unstableleadershipbyfounderswhoprovebetteratarticulatingavisionthanatactuallyrunning
aschool
3. Internaldissension,oftenexacerbatedbyinsufficientlycleardivisionofrolesandresponsibilities
4. Lackofprofessionalcompetenceinfinancial,managerial,oradministrativeareas
5. Difficultyinbalancinginputamongvariousstakeholdergroups
6. Exhaustingvolunteers(includingboarddirectors)byexpectingtoomuchofthem

Thisgovernanceguidebookwillprovidepracticalinformation,toolsandtechniquestoaddresstheseand
othergovernanceproblems.Inmanycases,theguidebookwillofferconcretesuggestionsfor
structuringthecharterschoolgoverningboardandselectingoperatingproceduresthatpreventmanyof
theseproblemsfromarisinginthefirstplace.

BarriersToBoardEffectiveness

Inadditiontotheproblemsthatplaguecharterschools,thereareanumberofadditionalfactorsthat
helptoexplainwhysomeboardsdon'tfunctioneffectively.Takentogether,thesefactorsprovidea
checklistforassessingaboardandidentifyingproblemareas.Examiningthesebarrierstoboard
effectivenesscanbethefirststepinrevitalizinganexistingcharterschoolboardorbuildinganeffective
boardfromscratch.Let'stakealookatsomeofthemnow:

Temptationtomicromanage.
Practicallyeveryonecansharehairraisingstoriesabout
boardsthatspentuntoldhoursdiscussingtrivialsubjectswhileneglectingmajoragendaitems
deservingtheirmorecarefuldeliberation.Itiscriticalthattheboardfocusesitsattentionon
issuesofcriticalimportancetothecharterschool.Inordertodothis,theboardmustavoidthe
temptationtomicromanageormeddleinlessermattersorinareasthataremoreappropriately
Grignano,Chenzi,
GuidanceforCharterSchoolOperators
,CharterSchoolsProject,DuquesneUniversity,1999.

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handledbythecharterschooladministratorandotherstaff.Aboard,meetingmonthlyfortwo
hours,hasapproximately24hoursofmeetingtimeperyeartomakeallofthemajordecisions
aswellasaddresscriticalissuesthatcomebeforeitunannounced.Itissimplyimpossibletodo
aneffectivejobwithinthose24hoursofmeetingtime,evenifonlyafewhoursarewastedon
lessimportantmatters.

Ineffectivenominatingcommittee.
Manyboardslackaneffectivenominatingcommittee.
Weneedtorememberthattheworkofthenominatingcommitteehaslastingimpactonthe
charterschoolandthiscommittee'sworkdetermineswhoboardleaderswillbeformany
yearsintothefuture.Thenominatingcommitteeshouldbewellorganized,haveaclearsenseof
recruitingprioritiesaswellasexpectationsforindividualboarddirectors.Theseelementsare
frequentlymissinginmanycharterschools.Ifthenominatingcommittee,sometimescalledthe
boarddevelopmentcommittee,ispoorlyorganized,boarddirectorsinturnarenotlikelytohave
agoodunderstandingofthecharterschoolandtheirroleasboarddirectors.

Noplanforrotation.
Anotherproblemisthelackofaplanfororderlyrotationofboard
directorsonandofftheboard.Frequently,thereisbylawlanguagethatspecifiesregular
rotation.Sometimesthebylawsrequirementsareoverlookedoutoffearthatnewboard
directorswillnotbefound.Ifthesamepeopleserveyearafteryear,thereisnowayfornew
bloodandnewideastocomeintotheboard.Despitetheirsenseofcommitment,thesesame
peoplewillmakethecharterschoola"closedorganization."Rotationpreventstheingrown
possessivenesssometimesfoundonselfperpetuatingboards.Inatimeofrapidchange,the
presenceofnewpeoplewhobringafreshperspectivewillpromotecreativityandinnovationin
boarddecisionmaking.

Failuretoremoveunproductivemembers.
Anotherproblemthatleadstopoor
performanceisthefailuretoremoveunproductiveboarddirectors.Peoplewhoarenotcarrying
outtheircommitmentsasboarddirectorsbecomemajorblockstooverallboardeffectiveness.
Again,thereisusuallybylawlanguagethatspecifiesaconsequenceforlackofperformance
usuallyfailuretoattendacertainnumberofmeetings.Beyondthisformalbylawmandate,there
needstobeaprocessforevaluatingboarddirectorperformanceandmakingrecommendations
regardingtheirfutureservicewiththeboard.

Toosmall.
Sometimesthecharterschoolboardisineffectivebecauseitissimplytoosmallin
number.Whenweconsidertheawesomeresponsibilitiesofboardleadership,it'seasytosee
whyweneedenoughpeopletodothework.Theidealnumberofboarddirectorsisthe
smallestnumberthatallowsthecharterschoolboardtobeeffective.Whileitisdifficultto
specifyanappropriatesizeforallcharterschoolboards,ingeneral,aboardshouldrangein
numberfrom11to21members.Theboardsorganizationalstructurewillalsohavebearingon
theboardsize.Forexample,iftherearealargenumberofcommittees,theboardwillneedto
havemoremembersthanonethathasfewercommittees.Weneedenoughmemberstolead
andformthecoreofthecommitteesand,ingeneral,shareintheotherworkoftheboard.We
alsoneedsufficientnumberstoreflectthedesireddiversityintheboardaswellasassurethe
rangeofviewpointsthatspursinnovationandcreativityinboardplanninganddecisionmaking.
Oftenboardineffectivenessisascribedtosize.Theexperienceofmanyorganizationsboards,
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includingcharterschoolboards,suggeststhatevenalargerboardcanfunctioneffectivelyifit
hasaskilledchairperson,awelldesignedagendaandwellpreparedboarddirectorswhohave
receivedadequateinformationinadvanceofmeetings.

Lackoffunctioningcommitteestructure.
Thelackofafunctioningcommitteestructureis
anotherreasonwhyboardsfailtoperformatanacceptablelevel.Whileitistruethatmajor
decisionsaremadeinboardmeetings,itisalsotrueisthatmostoftheworkthatsupportsand
implementsfullboarddecisionmakingoccursatthecommitteelevel.Iftheboardhasa
committeestructurethatfunctionsinadequately,thiscanleadtopoorperformanceingeneral.

Nostrategicplan.
Thelackofastrategicplan,inmostcases,willalsoleadtopoorboard
performance.Ifthecharterschoollacksastrategicplanthatprovidescleardirectionso
criticalinthisperiodofrapidchangetheboardcanspendsignificantamountsoftimetalking
abouttopicsthatsimplydon'tmatter.Relatedtotheabsenceofastrategicplanisthelackofa
longrangeprogramdeliveryandfinancialdevelopmentplanthatwilladvancethestrategicplan.

Noplanfororientationofnewandoldmembers.
Charterschoolboardscanalsofail
becausetheyhavenoplanfororientationofnewandoldmembers.Deliberatethoughtisrarely
giventothematterofblendingnewandoldboarddirectorsintoawellfunctioningteam.
Relatedtothis,isthelackofaformalplanofboardtrainingandeducationtocontinually
upgradethelevelofboardskillsandknowledge.

Noproactiveplantomanagefounderssyndrome.
Foundersyndromereferstothe
dynamicthatdevelopswhenthefoundingleader(s)ofthecharterschool,whosevision,
highenergyandpersonalcharismawascriticaltoorganizingandlaunchinganewschool,
becomesablocktothecontinuinggrowthanddevelopmentofthecharterschool.This
"syndrome"isobservableinotherorganizations,bothnonprofitandforprofitalike.Each
developmentalstageofacharterschoolpreorganizing,preparingthecharterapplication,
launchingtheschool,earlyyearsofoperationrequiredifferentskills,expertise,leadership
styles,andpersonalqualities.Theconflictsthatarisearepatternedandpredictable,andyet,
mostofthetime,nothingisdonetomanagetheverynecessarytransitiontoamorestableand
structuredleadershipteam.Theresultsarewellknown,sometimesleadingtotheearlydemise
ofwhatwouldotherwisehavebeenagreatschool,otherinstancesresultinginalong,slow,
steadydrainofenergyandgoodwillthatlessensthelongtermprospectsforsuccess.

ThisviewhassomesupportintheresearchoncharterschoolsbyLovelessandJasin(1998)
whopointoutthatstartingacharterschoolrequiresfounderstomastertwoprimarychallenges:
first,essentialresourcesmustbefound(facilities,startupfunds,staff,etc.)andsecond,
governanceandadministrativestructuresmustbeestablished.Inparticular,theseadministrative
structuresneedtobeestablishedinawaythatallowstheschooltoevolveintoa'formal'
organization.Inotherwords,oneofthechallengesfortheschoolistomovefromasmall,
informalorganizationbasedlargelyontheentrepreneurialskillsofonetotwooriginalfounders
toalarger,morecomplexschoolwhichoperatesbyformalorestablishedpoliciesandwhich
involvesabroadrepresentationoftheorganization'smembers.Wewilltalkmoreabout
founderssyndromeanditsrelationtocharterschoolboarddevelopmentlaterinChapter1.
15

Someofthechallengesdescribedabovewillbepainfullyfamiliar,eventocharterschoolsthatare
relativelynew.Tosomedegree,mostcharterschoolsandotherorganizationswithgoverningboards
encounterthem.Thegoodnewsisthatalloftheseproblemsarepreventable.Futurechaptersofthis
guidebookwillexplorebasictoolsandtechniquesthathaveprovenhelpfultoboardsinaddressingthe
barriersdiscussedabove.

Andthereismoregoodnews:becausecharterschoolsarerelativelyneworganizations,itwillbemuch
easiertoestablisheffectiveboardpracticesfromthebeginning.Inthefuture,knowledgeofthesebest
practiceswillenablecharterschooldeveloperstoimbedsomeorallofthesepracticesintothevery
designofthecharterschoolbeforeitevenopensitsdoors.Sothereisgreatreasonforhope!

DesigningyourCharterSchoolGovernanceStructure:First
Steps
DevelopingaGovernanceStructure

AccordingtotheNorthwestRegionalEducationalLaboratory(NWREL),thefirstpriorityindeveloping
afunctioninggovernancestructureshouldbetoreviewyourchartercontractforgovernance
requirements.Whiletakingtheserequirementsintoaccount,thegovernancestructureshouldbetailored
toyourschool'svision,mission,andgoals.Everyboardhastheresponsibilitytodevelopitsown
structure,policies,andproceduresconsistentwithapplicablelaws,requirementsofthecharter
authorizingbodyaswellasthegovernancephilosophyofthecharterschoolleaders.Atthesametime,
charterschoolexperiencetodatesuggestssomecharacteristicsofeffectivegovernancestructures.

TheCenterforSchoolChangeattheUniversityofMinnesotaconductedanationalreviewofcharter
schoolgovernancethatisagoodstartingpointforthinkingaboutthedetailsofthegovernancestructure
foryourcharterschool.Thesampleconsistedof30charterschoolsfromninestatesthatwere
interviewedtouncoverkeyelementsofsuccessfulstructuresthatwerecommonamongschools
demonstratingimprovedachievementasmeasuredbystandardizedtestsandotherformsofassessment.
3
Theseschools:

Adoptedastructurethatreflectstheschool'smission,goals,andobjectives
Designedastructurethatreflectsthestatecharterlaw
Usedsomeformofshareddecisionmaking
Createdatleastonecommittee/counciltoaddressspecificissuessuchascurriculum,finance,
andstaffdevelopment
Producedadocumentthatexplainswhichdecisionsaremadebywhom(i.e.,governingboard,
administrator,committee/council)
Involvedavarietyofpeopleinthegoverningboardorincommittees/councils
Employedboardtrainingseminars,conferences,and/orretreats
3

Cheung,S.&Nathan,Joe,
W hatWorks?GoverningStructuresofEffectiveCharterSchools
.TheCenterforSchool
ChangeattheUniversityofMinnesota

16

Selectedboarddirectorswhosharedtheschool'smission
Focusedongeneratingavisionandplanforschoolimprovement
Hadrelativelysimpleorganization,withoutmultiplelevelsofbureaucracy
Wereflexibleandabletoadapttochangingsituations
Stayedtruetothemission,vision,orpurpose
Consideredtheclients'(students')needsatalltimes

Intheintroductiontothe
CharterSchoolGovernanceToolkit
,LaurieGardnerandEricPremackpose
fouressentialquestionsthathavetobeansweredinthedesignofacharterschoolgovernanceplan:

1. Whatpowersdoesafullyvestedgoverningboardofanorganizationhave?
2. Howmuchpowerdowewantourcharterschoolgoverningboardtohave?
3. Whowillhavethispower?
4
4. Howwillthepowerbeexercised?

Tosomedegree,thesequestionswillhavebeenansweredintherequireddescriptionofcharterschool
governanceincludedintheapplicationtothecharterauthorizingbody.Formostcharterschools,
additionaldetailwillneedtobeaddedtothegovernanceplanbeforethecharterschoolopens.Further
workwillbecompletedinthefirstyearofoperation.

ThreeDominantM odelsOfCharterSchoolBoardGovernance

GaryR.Gruber,Ph.D.,aconsultantwithCarneySandoe&AssociatesinSantaFeandamoderatorof
5
theUSCSgovernancediscussiongroup ,offersadescriptionofthethreedominantmodelsof
governancethatprevailinthemajorityofcharterschoolsinoperationtoday.AccordingtoGruber,there
areadvantagesandbenefitsineachaswellasissuesthatcanarisebecauseofdisagreements,lackof
clearpoliciesandprocedures,faultycommunication,inadequateplanningandforecasting,differentor
unclearexpectations,andlackofagreementregardingoperations.Thesemodelsexistonacontinuum
andarenotmutuallyexclusive.Someschoolscombineelementsfromeachmodel.Thedescriptionof
thethreemodelsbelowdrawsonGaryGruberswritingonthesubjectaswellasthegovernancemodel
ofLeadershipHighSchoolinSanFrancisco.

1. Schoolcommitteeorcouncilcomposedofparents,teachers,administratorsandothers.

Thismodeldrawsinspirationfromschoolshareddecisionmakingstructuresandsitebasedmanagement
councilsthathaveoperatedinvariousformsintraditionaldistrictpublicschools.AccordingtoGruber,
4

Gardner,Laurie,andPremack,Eric,
CharterSchoolGovernanceToolkit
,publishedbyCharterSchoolsDevelopment
Center,1999.
5
Goto:http://www.uscharterschools.org/cs/uscsp/forum/cs_disc/16

17


thismodelmaybeamongthemostdemocraticandrepresentativeasitisinclusive,fullyrepresentational
anddelegatesmanagementandoversighttooneormoreofitsmembers.Thoseinchargehaveaclear
understandingofproceduralmattersandfullinclusioninthedecisionmakingprocessisessentialforthis
model'seffectiveness.Sharedleadershipwithadivisionoflaboraccordingtotalentandexpertiseis
seenasthebestwaytoservetheneedsofstudents,familiesandthecommunityasawhole.The
committeeorcouncilmeetingsareusuallyopentothecommunityandanyoneiswelcometoattend.This
spiritofopennessandinclusionareguidingprinciplesinthisformofgovernanceandinmanycases
decisionsarereachedthroughconsensusratherthantakingaformalvote.Membersmaybeelected
and/orappointedbyvariousgroups(teachers,parents,administrators,schooldistrictofficials,union
representativesandothers)andserveatthepleasureofthoseconstituents.Theymayhavedefinedor
rotatingtermsofservicesothatothersmayparticipateinthegoverningprocess.Amongthecriteriafor
membershipisthedesiretoimplementthemissionoftheschoolandthecommitmenttobeactively
involvedinthedecisionmakingprocessthatbearsresponsibilityforthesuccessoftheprogram.

1. Aboardofdirectorswithastructureofofficers,bylaws,anddelegationof
managementtoaprincipal,chiefadministrator/directororheadofschool.

Thismodeldrawsinspirationfromtheapproachtoboardgovernancetraditionallyfoundinnonprofit
organizations.Inthismodel,thereisacleardistinctionmadebetweenthegovernanceworkoftheboard
ofdirectorsandtheadministrative/managementworkofthepaidstaff.
Inthismodel,thecharterschoolisalegallyincorporatedentitygovernedbystatestatutesandIRS
regulationsgoverningnonprofit,taxexemptorganizations.Theboardofdirectorsisresponsiblefor
governingtheschool.TheTrusteeseachhaveapersonalfiduciarydutytolookoutforthelongterm
wellbeingoftheschool.TheBoardisresponsibleforaddressingmajormattersincluding:settingthe
schoolsgeneralpoliciesandoverallcurriculumpoliciesapprovingandmonitoringtheannualbudget
andfinancialproceduresfundraisinghiringandevaluatingtheschoolsprincipalapprovingpersonnel
policiesandmonitoringtheirimplementationbytheprincipalassuringthatthecharterschoolfulfillsits
chartercontractand,strategicplanning.

Theboardiscomposedofabroadcrosssectionoftheschoolcommunityandcommunityatlargeand,
inadditiontoprofessionalsandcommunityleaders.Insomecharterschools,theboardwillalsoinclude
theprincipal,representativesofteachingstaff,studentsandparentsleadership.Theboardgenerally
meetsasawholeonamonthlybasis.Itoperatesthroughvariouscommittees,includinganexecutive
committeeconsistingofofficerselectedtomanagetheboardandhelpmonitorschoolpolicies.

Theboardisnotinvolvedinhandlingthedaytodaydetailsofrunningtheschool,dealingwithspecific
personnelissues,oraddressingindividualstudentneeds.Consistentwiththebestpracticesofnonprofit
corporationmanagement,theboarddelegatestheresponsibilityforrunningthecharterschooland
implementingtheboardspoliciestoaprincipalorcharterschooladministrator.Whereappropriate,the
charterschooladministratorwilldelegatesomeresponsibilitytootheradministrators,teachers,and
students.

1. Owner/Operator,eithernonprofitfoundationorforprofit,withorwithoutaboardor
committee.
18

Insomecases,inthismodel,anadvisorycommitteefunctionstoprovideinformationandsupportora
boardofdirectorsofthecorporationorfoundationserveinthatcapacity.Oftenalargerholdinggroup
orcompanymayoperateseveralschoolsindifferentlocationsbutstilldependuponalocalgroupfor
adviceandguidance.However,decisionsrestwiththechiefexecutiveofficerwhoistheoneresponsible
fortheoperationoftheschool.Thisindividualishiredwithajobdescriptionthatoutlinesareasandlines
ofresponsibilityandaccountability.Thismodelfollowsamorestructuredchainofcommandthatisakin
toabusiness/corporatemodeloforganization.Theflowofresponsibilityfollowsachartinwhich
responsibilitiesareassignedordelegatedtospecificdepartments.Themanagersordirectorsofthose
divisionsareaccountableforwhathappenswithintheirrespectivedepartmentordivision.

The
CreatingAnEffectiveGoverningBoardGuidebook
isbasedonthesecondmodel.Thetoolsand
techniquespresentedcanbeapplied,withmodifications,totheothermodelsofgovernancedescribed
above.Regardlessofthegovernancemodelselected,boarddirectorrecruitment,orientation,ongoing
training,committeedevelopment,meetings,policymaking,andotherelementsofboardeffectivenesswill
begreatlyenhancedthroughtheuseofthepracticescoveredinthefollowingchapters.

19

GroundingtheCharterSchoolBoardinaSolidM odelof
Governance:FundamentalAssumptions

Thereareanumberoffundamentalassumptionsabouteffectivegovernancethatserveasthefoundation
forthe
CreatingAnEffectiveGoverningBoardGuidebook
.Theseassumptionsmaychallengepresent
governancepracticesofsomecharterschools.Aswasnotedintheprevioussectionthough,someofthe
strengthsofthenonprofitboardgovernanceapproachcanbeusefultoeverycharterschool.

Aneffectivesystemofboardgovernanceisorganizedaroundthefollowingprinciples:

1. Distinctionbetweengovernanceworkoftheboardandmanagementworkofthestaff
2. Ends/meansdistinctionwithabiasinfavorofhighimpactdecisionmaking.
3. Clarityaboutwhodoeswhat(specificallywhatdoestheboarddoandwhatdoesthestaffdo)

DistinctionBetweenGovernanceAndM anagement

Theapproachtogovernanceinmanycharterschoolshasbeeninfluencedbythepreviousexperienceof
parents,teachers,students,administratorsandotherswho"learned"governanceinthetraditionalpublic
schoolsystem.Governancepracticesinsomecharterschools,asinotherpublicschools,tendtomixthe
functionsofboardgovernancewithparentandcommunityinvolvementstrategies,charterschool
managementandadministration,shareddecisionmaking,andteacherempowerment.Theapproachin
thisguidebookistofirstseparatethesedistinctfunctions,rolesandactivitiesfromcharterschoolboard
governanceandthendescribewaystolinkthemeffectivelywitheachother.

Attheriskofoversimplifyingacomplexsubject,acleardistinctionmustbemadebetween
"governance"and"management.Inaneffectivecharterschool,therewillbestronglinksbetween
governanceandmanagement.Atthesametime,thereareimportantdifferencesbetweenmattersof
governancesuchasmakingdecisionsonmajorpolicymakingorsettingoveralldirectionoftheschool
andmattersofmanagementtheeffectiveallocationanddeploymentoftheschoolsresourcesona
daytodayandmonthtomonthbasisinordertoachievethevisionandmajorgoalsoftheschool.

Theboardhasanumberofmajordecisionsandactionstotake.Someoftheseoccurannuallyfor
example,approvingthebudget,reviewingtheperformanceofthecharterschooladministrator,and
monitoringstudentachievement.Theboardhaslimitedtimeinwhichtomakethem.Itisforthis
reasonthatitissoimportantforboardstousetheirtimewellandforboardstructuresandprocedures
topointthemtowardmajordecisionmakingandawayfromdistractionsandlessermatters.Itis
importanttoemphasizethatboardmeetingtimeisalimitedresourceandthisresourceshouldbe
allocatedtomakingmajordecisionsanddevelopingpoliciesforthecharterschool.

Thecharterschoolboardthen,mustfocusitsattentiononmajordecisionsmonitoringschoolprogress
towardmeetingthestudentachievementandotherobjectivesagreedtointhechartercontract,budget
approval,schoolwidepolicies,strategicplanning,charterschooladministratorappraisalandsupport.
Thesebroaderdecisionscreatethespaceorplayingfieldforboardcommittees,thecharterschoolstaff
ledbytheadministrator,andvolunteerstoplanandimplementactionsintheirrespectiveareasof
20


responsibility.Autonomyisgrantedwithintheboundariescreatedbyboarddecisionmakinginthe
majorareasnotedabove.Thecharterschoolboardshouldnotmicromanageormeddlein
decisionmakingthatisbestdonebythoseresponsibleforthedevelopmentanddeliveryofeducational
programsandsupportservicesonadailybasis.Wheneverpossible,theboardshouldeffectively
delegateimplementationresponsibilitywithclearinstructionsand/orsuggestionstoitscommitteesorthe
charterschooladministrator,sothattheboardcancontinuetomaintainafocusonthebigpictureThis
governanceframeworkisillustratedinthechartentitledCharterSchoolGovernanceFrameworkin
thischaptersToolsSection.

EndsAndM eansDistinction

JohnCarver,authorof
BoardsThatMakeADifference
,haspopularizedthedistinctionbetween
EndsandMeansinhismodelofboardpolicygovernance.AccordingtoCarver,itistheboards
responsibilitytoprescribeordeterminewhathereferstoastheendsandstayawayfromthemeans
excepttosaywhatisunacceptable.InCarver'sview,endspoliciesanddecisionshavetodowiththree
things:thecharterschoolsresultsoroutcomes(educationalachievementatalevelacceptabletothe
charterschoolleadershipandthecharterauthorizingbodyasspecifiedinthecontract),therecipientsof
thoseresults(childrenattendingthecharterschool),andthecoststoachievethoseresults.Means
referschieflytotheapproachesormethodsusedbystafftoachievetheendsdeterminedbytheboard.

WhilealiteralinterpretationofCarvermightappeartomanycharterschoolstobeunworkable,his
importantworkhashelpedboardsofallkindstofocusmoreonmajorpolicyanddecisionmakingand
toavoidspendingtimeonmoredetailedmattersthatarebestlefttostaff,ortheboard'scommittees.
Thisfocusonendspolicyandmajordecisionmakinggreatlyincreasestheleveloftheboards
effectiveness.CharterschoolboardswillbenefitfromanexaminationoftheCarvermodelevenifthey
6
decidethatthemodelasawholedoesnotmeettheirneeds. Thegovernanceframeworkchartinthe
ToolsSectionofthischapterillustratesthisdistinctionbetweenendsontheonehand,andthemeans
usedtoachievetheendsontheother.

AccordingtoCarver,itisalsotheboardsresponsibilitytosetexecutivelimitations.PaulShay,
ExecutiveDirectorofCanadaWorldYouthdescribesthepurposeofexecutivelimitations:Aboard
delegatesresponsibilityfortheachievementoftheendstotheCEO(charterschooladministrator),and
providesparametersontheacceptablemeansthattheCEOandotherstaffcanuse.Byproviding
parametersonwhattheadministratorcannotdoinsteadoftellingtheCEOwhattodo,theboard
empowerstheCEOandstafftochoosethemostsuccessful,creativeandcosteffectivemeanswithin
theparameters.Theboardissaying,"Findthebestwaytoachievetheseends,butstaywithinthese
boundaries."Theboundariesallowtheboardtoclarifywhatlevelofriskitfindsunacceptableandwhat
ethicalstandardsitinsistsupon.FormoreinformationoftheCarvergovernancemodel,seeCarver
resourceslistedintheToolsSectionofthischapterandinChapter13aswell.

ForagoodsummaryofsomeoftheperceivedadvantagesanddisadvantagesoftheCarvermodel,gotothe
CanadianCentreonPhilanthropy,
http://www.ccp.ca/information/boards_of_directors/governance/fc242.htm
.It
shouldbefurthernotedthattheCarvermodelmaynotworkwelliftherearenotenoughstafftowhom
responsibilitiescanbedelegated.

21

ClarityandAgreementAboutWhoDoesWhat

Aswaspointedoutearlier,manyproblemsarisewhenthereisalackofclarityregardingrolesand
responsibilitiesbetweentheboardandstaffofthecharterschool.

Aneffectivegovernancemodelrequiresthateveryoneisclearandinagreementabouttheirrolesand
responsibilities.Asnotedabove,therearenumerousexamplesofcharterschoolshavingdifficulties
becauseofdisagreementsregardingresponsibilitiesofboardandstaff.Aneffectivegovernancemodel
willrequireclearanddetaileddescriptionsoftherolesandresponsibilitiesoftheboard,itscommittees,
itsofficers,andstaff.Includedinthisguidebookaresamplejobdescriptionsandcommissionsforeach
ofthesegroups.

SpecificRolesAndResponsibilitiesOfTheCharterSchool
Board

TheNationalCenterForNonprofitBoardshasdevelopedalistofthebasicrolesandresponsibilitiesof
7
boarddirectors. Thislistcanserveasaguideforcharterschoolgoverningboardsaswell:

1. Determinethecharterschoolsmissionandpurpose
.Astatementofmissionandpurpose
shouldarticulatethecharterschoolsgoals,means,andprimaryconstituentsserved.Itistheboard
ofdirectors'responsibilitytocreatethemissionstatementandreviewitperiodicallyforaccuracy
andvalidity.Eachindividualboarddirectorshouldfullyunderstandandsupportit.

2. Selectthecharterschooladministrator
.Boardsmustreachconsensusonthecharterschool
administratorsjobdescriptionandundertakeacarefulsearchprocesstofindthemostqualified
individualfortheposition.

3. Supportthecharterschooladministratorandreviewhisorherperformance
.Theboard
shouldensurethatthecharterschooladministratorhasthemoralandprofessionalsupportheorshe
needstofurtherthegoalsofthecharterschool.Thecharterschooladministrator,inpartnership
withtheentireboard,shoulddecideuponaperiodicevaluationoftheadministratorsperformance.

4. Ensureeffectiveorganizationalplanning
.Asstewardsofthecharterschool,theboardmust
activelyparticipatewiththestaffinanoverallplanningprocessandassistinimplementingthe
resultingplan.

5. Ensureadequateresources
.Oneoftheboard'sforemostresponsibilitiesistoprovideadequate
resourcesforthecharterschooltofulfillitsmission.Theboardshouldworkinpartnershipwiththe
charterschooladministratoranddevelopmentstaff,ifany,toraisefundsfromthecommunity.
Ingram,RichardT.,
BasicResponsibilitiesofNonprofitBoards
,NationalCenterforNonprofitBoards,1996.

22

6. Manageresourceseffectively
.Thecharterschoolboard,inordertoremainaccountabletothe
chartergrantingentity,parentsandstudents,itsdonors,thepublic,and,inthecaseofaseparately
incorporatednonprofit,tosafeguarditstaxexemptstatus,mustapprovetheannualbudgetand
ensuringthatproperfinancialcontrolsareinplace.

7. Determineandmonitorthecharterschoolsprogramsandservices.
Theboardsroleinthis
areaistodeterminewhicheducationalprogramsandservicesarethemostconsistentwiththe
charterschoolsmission,andtomonitortheireffectiveness.

8. Enhancethecharterschoolspublicimage.
Acharterschool'sprimarylinktothecommunity,
includingconstituents,thepublic,andthemedia,istheboard.Clearlyarticulatingtheorganization's
mission,accomplishments,andgoalstothepublic,aswellasgarneringsupportfromimportant
membersofthecommunity,areimportantelementsofacomprehensivepublicrelationsstrategy.

9. Assessitsownperformance
.Itistheboardsresponsibilitytoensurethatthetotalorganizationis
effectiveinachievingitsmissionandefficientinusingitsresources.Itshouldbeginthisannual
discussionbyevaluatingitssuccessasaboard.Byevaluatingitsperformanceinfulfillingits
responsibilities,theboardcanrecognizeitsachievementsandreachconsensusonwhichareasneed
tobeimproved.

M atchingtheRoleoftheBoardwiththeCharterSchoolsStageof
OrganizationalDevelopment

Newcharterschoolstypicallystartoutwithasmallnumberofstudents,asmallbudget,andfewstaff.
Thesestartupcharterschoolsmayhaveanumberoffoundingleadersandotheroutsideadvisorswho
helpthecharterschooladministratorplanandimplementtheeducationalprogramandmakeoperational
decisions.Atsomepoint,thecharterschoolbeginstoformalizeitsrelationshipwithfoundingleaders
andoutsideadvisorsbycreatingamanagingboard,schoolsteeringcommitteeorboardofdirectors.In
theearlyyears,theboardisoftencomposedofthefoundingmembersofthecharterschoolwhowork
onavolunteerbasis,ofteninahandsonfashion.However,asthecharterschoolgrows,itsneeds
inevitablychange.Morematurecharterschoolsservealargernumberofstudentsandmaybeginto
operateavarietyoffamilysupportprogramsaswell.Theymanagelargebudgetsandemploygreater
numbersofstaff.Thesemorematurecharterschoolsrequiretheinputofalargerboardcomposedof
memberswiththespecialskillsneededtoestablishandshapethemissionandpoliciesofthecharter
schoolinordertosustainlongtermgrowth.Thefollowingtablepresentsabriefsummaryofthe

23


differenttypesofboardsthatareappropriateforcharterschoolsatthethreedifferentlevelsof
development.

StageofOrganizational
StageofCharter TypeofBoard
BoardFunctions
Development
SchoolOperation
EmergingStage

Precharter
applicationdesign
ofthecharter
school

Informalgroupof
foundersandother
community
volunteers

Growth/ConsolidationStage

Chartergranted
schoolopens

Moreformal
advisoryboardor
smallboardof
directors

Sustainable/MatureStage

Ongoingoperation
chartercontract
compliance
renewalofcontract

Moreformalboard
ofdirectorswith
established
subcommittees

Worksdirectlywith
staffthatcarriesout
thedailyworkof
operatingthe
school.
Oversees
developmentofthe
charterschool's
mission,policies,
andoperations.
Shapesmissionand
policies,raises
money,and
overseesthecharter
school'sfinancial
andeducational
performance.

Thecharterschooldeveloperswillneedtoplanfortheorderlytransitionfromtheemergingorplanning
stagetothegrowthoroperationalstageofdevelopmentthatbeginswhenstaffishiredandplanning
memberstakeonnewrolesasstaff,teachersand/orboarddirectors.AccordingtotheNorthwest
RegionalEducationalLaboratory(NWREL),CharterStartersLeadershipTrainingAcademy,hereare
8
somequestionstoconsider:

Whatistherelationshipbetweenfounders,theboard,anddaytodayoperators?
Doallthefounderswanttoremaininvolvedintheschoolandifso,dotheywanttoserveonthe
governingboard,orasnonboardschoolvolunteersordotheywanttobecomemembersofthe
paidstaff?
Howwillnewboarddirectorsberecruitedasthesomeorallfoundersleavethegoverning
boardinthefuture?
Whatskillsandareasofexpertiseareneededindifferentstagesofdevelopment?
Willtheboardbeabletomaintaintheworkloadofacommitteeofthewholeorwilltheboard
needtoestablishstandingcommitteesastheschoolgrows?
Insomecharterschoolstartupsituations,howwilltheboardtransitionfrom
operational/managerialtaskstogovernance,policydevelopmentandstrategicplanning?

Onthelastpoint,though,NWRELoffersthesomeimportantsuggestions:Intheearlierstagesof
development,itmaybemorecommonfortheboardtoengageinmoremanagerialtasks.However,as
8

NorthwestRegionalEducationalLaboratory(NWREL),
CharterStartersLeadershipTrainingAcademyWorkbook
1999.Module4:ManagementandGovernance

24


theboardmatures,itistothebenefitoftheschooltoshiftthefocusoftheboardtopolicydevelopment
andstrategicplanning.Thisallowstheboardtogovernandtheadministratorstomanage.Thiswill
keepcurrentboarddirectorsmorefullyengagedasitaidsinalleviatingboredom,conflict,and
frustrationthatcanoccurfromaboardthatgetstiedintomanagingthedaytodayroutinetasks.Board
directorswhofocusonpolicyandstrategicplanningoftenfeelmoreinterestedandintrinsicallysatisfied
astheirskillsaremorefullyutilized.

Suggestionsforwaystohelptheboardstaystrategicallyfocusedinclude:

Defineclearexpectationsfortheboard.Writtendescriptionsoftheboard'sbasic
responsibilitiescanhelpsolidifytheroleofthegoverningboard.
Createclearexpectationsforthecharterschooladministratororprincipal.
Structuremeetingstodirecttheboard'sattentiontomattersofpolicyandstrategy.Thiscanbe
donethroughaclearagenda.

BoardDevelopmentAsAProcess
BasicElementsOfBoardDevelopment
Developmentofaneffectivegoverningboardisanessentialcomponentofbuildinganeffectivecharter
school.Itisaresponsibilitythatthecharterschooldevelopersneedtoviewasoneoftheirtop
priorities.Experiencedemonstratesthatboardsthatdedicatethemselvestoaplannedandsystematic
approachtoboarddevelopmenthavethemostsuccessandfacefewerproblems.Andacharterschool
boardthatisntpreoccupiedwithinternalproblemscandevotemoreenergytoenhancingstudent
achievement.Thestepsinthedevelopmentofaneffectivegoverningboardinclude:

Nominationsandrecruitment
theprocessofidentifyingtherightindividualstomeetthe
needsofthecharterschool,helpingthemunderstandtheirrolesandresponsibilities,and
convincingthemtobecomepartoftheboard.

Orientation
thestepstakentogivenewboarddirectorstheinformationtheyneedtocarry
outtheirrolesandresponsibilitieseffectively.

Training
theregular,ongoingeffortstobuildnewskillsandknowledgeamongtheexisting
boarddirectorstoenhanceperformance.

Evaluation
theannualtaskofevaluatingindividualboarddirectorperformanceaswellasthe
effectivenessoftheboardasawhole.

Recognition
theongoingprocessofrecognizingtheworkandaccomplishmentsofboard
directorstotheworkoftheboardandtothecharterschool.

IntheToolsSectionofthischapter,thereisachartdepictingtheannualboarddevelopmentsequence
thatshowstherelationshipintimeamongthesefiveactivities.
25

Eachoftheseelementsintheboarddevelopmentprocessiscritical.Forthisreason,theboardneedsto
establishaboarddevelopmentcommitteewithresponsibilityforseeingthateachelementisinplace.The
roleofthiscommitteeisdefinedinthenextsection.

CriticalRoleoftheBoardDevelopmentCommittee

Throughoutthisguidebook,thecriticalroleoftheboarddevelopmentcommitteewillbeemphasized.A
samplejobdescriptionforthisimportantcommitteeisincludedinChapter10TheBoardatWork:
EffectiveCommittees.Herearesomeresponsibilitiesoftheboarddevelopmentcommittee:

1. Developboarddirectorcriteriathatexpressrecruitmentprioritiesintermsofskills,knowledge,
contactsandresourcessoughtafterbythecharterschoolboard.
2. Recruitingpotentialboarddirectors.
3. Presentpotentialboarddirectorstotheboard(orifthebylawsmandateanelection,this
committeepreparestheslateofcandidatesinaccordancewiththebylaws)
4. Provideorientationofpotentialandnewboarddirectors.
5. Providetrainingandcontinuingeducationforallboarddirectors.
6. Provideregularrecognitiontoboarddirectors.

CriticalRoleoftheFullBoard

Inadditiontothecriticalrolesplayedbytheboarddevelopmentcommittee,thefullboardhasanumber
ofresponsibilitiesinbuildinganeffectivecharterschoolgoverningboard.Theyinclude:

1. Approveboarddirectorcriteriainitiallydevelopedbytheboarddevelopmentcommittee.
2. Electorappointmemberstotheboard(exceptincaseswherethebylawsmandateanelection
ofboarddirectors.)
3. Terminatemembersforfailuretoperformadequately(inaccordancewithauthoritygrantedin
thebylaws).
4. Establishaboarddevelopmentcommittee.
5. Ensurenominationanelectionofofficers,againinaccordancewithauthoritygrantedbythe
bylaws.
6. Ensureaneffectivenominationprocessfornewboarddirectors.
7. Ensurethevaluationofcollectiveboardeffectivenessandindividualboarddirector
effectiveness.
8. Rotatesboardleadershippositionstoassurecontinuingleadershipdevelopmentandtofoster
innovationandfreshthinkingonthepartofboarddirectors.

Alloftheseresponsibilitieswillbedescribedinmoredetailinthefollowingchaptersofthegovernance
guidebook
26

Buildinganeffectivecharterschoolboardisaprocess.Mostassuredly,thingsdon'tchangeovernightin
organizations.Ittakesacommitmentonthepartoftheleadersoftheboardandthecharterschool
administratortomakeithappen.Experiencesuggeststhatitcantake25yearstocreateaneffective,
selfrenewinggoverningboard.Ifthecommitmentispresent,dramaticimprovementsinexistingboards
arepossiblealmostimmediatelybyapplyingtheprovenpractices,toolsandtechniquesthatfollow.In
charterschoolsthathaveyettoopentheirdoors,itspossibletobuildthesepracticesintothe
governancedesignfromthebeginning,thusavoidingmanyofthegovernanceproblemsthatnowplague
manyestablishedcharterschools.

Summary
Thisgovernanceguidebookhasbeendevelopedwithboththestrengthsandweaknessesofcharter
schoolboardsinmind.Weconsiderareasofspecialimportanceforthedevelopmentofeffective
governingboards,especiallythoseinnewanddevelopingcharterschools.Weexaminesuchtopicsas:
clarityofrolesandresponsibilitiesamongtheboardandstaff,theneedforalongtermboarddirector
recruitmentstrategy,effectiveorientationandtraining,committeestructuresthatenhanceboard
effectiveness,decisionmakingwithafocusonmajorissuesfacingthecharterschool,forgingstrong
workingrelationshipsbetweentheboardandstaff,boardaccountability,andothers.

Aneffectiveboardofdirectorsisbuiltuponanumberofkeypractices.Thefirstisathoughtful
nominationsandrecruitmentprocessthatisviewedaspartofabroaderefforttoidentify,involve,and
developboardleadership.Thesecondisthepresenceofanexecutivecommitteethatfacilitates
effectivedecisionmakingonthepartofaboardisawhole.Thethirdpracticeisestablishmentofa
committeestructure.Thefourthisaprocessforperiodicevaluationofboardperformance.These
processesandstructuresreinforceeachotherandlaythegroundworkforboardeffectiveness.

Thechaptersthatfollowprovideinformation,toolsandtechniquesthatwilladdresstheseissuesfacing
leaderswishingtodevelopeffectivecharterschoolboards.

27

Chapter1:ToolsYouCanUse
SamplesOfFoundationDocuments
SampleArticlesOfIncorporationForCharterSchoolsThatAreSeparatelyIncorporated
NonprofitOrganizations.(Source:LeadershipHighSchool,SanFrancisco)
BylawsChecklist(Source:NorthwestRegionalEducationalLaboratory(NWREL)Charter
StartersLeadershipTrainingAcademyGuidebook,Module4GovernanceandManagement)
SampleBylaws(Source:LeadershipHighSchool,SanFrancisco)
ForanothersetofsamplebylawsprovidedbytheIndependentSchoolsAssociationofthe
CentralStates,goto
http:/www.isacs.org/monographs/bylawsample.html.
RolesoftheBoardofDirectors(Source:ManagementCornerstones,Inc.,Milwaukee,WI)
CharterSchoolBoardGovernanceFrameworkChart(Source:TheCenterforPublicSkills
Training)inseparatefile
TheAnnualBoardDevelopmentSequenceChart(Source:TheCenterforPublicSkills
Training)inseparatefile

EssentialResourcesforDefiningBoardRoles,Responsibilities
andGovernancePhilosophy
Carver,John,
BoardsthatMakeaDifference:ANewDesignforLeadershipinNonprofitand
PublicOrganizations
.JosseyBass,1990
Carver,John,
ReinventingyourBoard.AStepbyStepGuidetoImplementingPolicy
Governance
.JosseyBass,1997.
Chait,Richard,
HowtoHelpYourBoardGovernMoreandManageLess
.NationalCenter
forNonprofitBoards,1994.
Gardner,LaurieandPremack,Eric,
CharterSchoolGovernanceToolkit
,FirstEdition,Charter
SchoolsDevelopmentCenter,1999.Section1includesaselectionofsamplefoundation
documents(bylawsandarticlesofincorporationthatcanbeadaptedtomeetyourcharter
schoolsspecificneeds.
Ingram,RichardT.,
BasicResponsibilitiesofNonprofitBoards
,NationalCenterforNonprofit
Boards,1996.
Mathiasen,Karl,
BoardPassages:ThreeKeyStagesinaNonprofitBoardsLifecycle
,
NationalCenterforNonprofitBoards.Thispublicationisprobablytheonlyonethatfocusesin
detailonhowtounderstand,anticipateandmanageFoundersSyndrome.
Zeitlin,KimArthur,andDorn,SusanE..
TheNonprofitBoardsGuidetoBylaws:Creatinga
FrameworkforEffectiveGovernance
,NationalCenterforNonprofitBoards.Thispublication
containsadviceontheprosandconsofcommonbylawlanguage,achecklistofelements
bylawsshouldcontainaswellassamplelanguage.Adisketteisavailablewith11complete
samplebylawsthatcanbeeasilyadaptedtomeetyourneeds.

ARTICLESOFINCORPORATIONof
9
LEADERSHIPHIGHSCHOOL
9

StatestatuesandstateregulatoryagenciesdetailwhatneedstogointotheArticlesofIncorporation.Checkwith
yourstatescharterschoolresourcecenterandtheofficeoftheSecretaryofState.

28

ArticleI.

ThenameofthecorporationisLeadershipHighSchool.

ArticleII.

Thiscorporationisanonprofitpublicbenefitcorporationandisnotorganizedfortheprivategainofany
person.ItisorganizedundertheCaliforniaNonprofitPublicBenefitCorporationLawforpublic
purposes.Thespecificpurposeofthecorporationistomanage,operate,guide,directandpromote
LeadershipHighSchool,andsuchothereducationalactivitiesastheBoardofDirectorsmaydefine
fromtimetotime.

ArticleIII.

Thenameandaddressofthecorporation'sinitialagentforserviceofprocessis:
DouglasT.Gneiser,Esq.
HancockRothert&BunshoftLLP
4EmbarcaderoCenter,Suite1000
SanFrancisco,California94111

ArticleIV.

Thecorporationisorganizedandoperatedexclusivelytomanage,operate,guide,directandpromote
LHS,andtoeducatestudents,withinthemeaningofInternalRevenueCodeSection501(c)(3).

ArticleV.

NotwithstandinganyotherprovisionoftheseArticlesofIncorporation,thecorporationshallnotcarry
onanyotheractivitiesnotpermittedtobecarriedon(1)byacorporationexemptfromfederalincome
taxunderInternalRevenueCodeSection501(c)(3)or(2)byacorporation,thecontributionstowhich
aredeductibleunderInternalRevenueCodeSection170(c)(2).

ArticleVI.

Nosubstantialpartoftheactivitiesofthiscorporationshallconsistofcarryingonpropaganda,or
otherwiseattemptingtoinfluencelegislation,andthecorporationshallnotparticipateorinterveneinany
politicalcampaign(includingthepublishingordistributionofstatements)onbehalfofanycandidatefor
publicoffice.

ArticleVII.

Thenameandaddressofthepersonappointedtoactastheincorporatingdirectorofthiscorporationis:

29


MarkE.Kushner
1SansomeStreet,Suite2100
SanFrancisco,California94104

ArticleVIII.

Thepropertyofthiscorporationisirrevocablydedicatedtothemanagement,operation,guidance,
directionandpromotionofLeadershipHighSchool,andtheeducationofstudents,andnopartofthe
netincomeorassetsoftheorganizationshalleverinuretothebenefitofanydirector,trustee,officeror
memberthereofortothebenefitofanyprivateperson.

Intheeventofthedissolutionofthecorporationforanyreason,anyassetsofthecorporationremaining
aftercompliancewithapplicableprovisionsoftheCaliforniaCorporationCodeshallbedistributedby
thecorporationtoanothernonprofitbenefitcorporationwhoseprimarypurposeiseducation.

Dated:August8,1997

MarkE.Kushner,Director

We,theabovementionedinitialdirectorsofthiscorporation,herebydeclarethatwearethepersons
whoexecutedtheforegoingArticlesofIncorporation,whichexecutionisouractanddeed.

MarkE.Kushner,Director

30


10

BylawsChecklist

(Source:NorthwestRegionalEducationalLaboratory)

InDevelopment

Developed

N/A

1.Offices

2.Purpose

3.Members

3.1Members
3.2Associates

4.Directors

4.1GeneralPowers
4.2SpecificPowers
4.3Number,ElectionAndTermOfDirectors
4.4ResignationAndRemoval
4.5Vacancies
4.6PlaceOfMeetings
4.7RegularMeetings
4.8AnnualMeetings
4.9SpecialMeetings
4.10RetirementsApplicableToMeetings
4.11QuorumAndVoting
4.12WaiverOfNotice
4.13Adjournment
4.14RightsOfInspection
4.15FeesAndCompensation
4.16RestrictionOfInterestedToDirectors
4.17StandardOfCare

5.Officers

5.1Officers
5.2Election
5.3SubordinateOfficers
5.4Removal
5.5Resignation
5.6Vacancies
5.7President/ChiefEducationOfficer
5.8VicePresidents
5.9Secretary

10

StatestatuesandstateregulatoryagenciesdetailwhatneedstogointotheArticlesofIncorporation.Checkwith
yourstatescharterschoolresourcecenterandtheofficeoftheSecretaryofState.

31


5.10ChiefFinancialOfficer(Treasurer)

6.Committees

6.1BoardCommittees
6.2MeetingsAndActionsAboardCommittees
6.3ExecutiveBoard(ExecutiveCommittee)
6.4OtherCommittees

7.SelfDealingTransactions

7.1Definition
7.2ActionOfTheBoard
7.3InterestedDirectorsVote
7.4CommitteeApproval
7.5PersonsLiableAndExtentOfLiability
7.6StatuteOfLimitations
7.7CorporateLoansAndAdvances
7.8AnnualStatementOfCertainTransactions

8.OtherProvisions

8.1ValidityOfInstrument
8.2ConstructionAndDefinitions
8.3AuthorityToVoteSecurities
8.4FiscalYear
8.5ConflictOfInterest
8.6InterpretationOfCharter

9.Inde mnificationOfAge ntsOfThe


CorporationPurchase OfLiability
Insurance
9.1Definitions
9.2IndemnificationOfAgents
9.3PurchaseOfLiabilityInsurance
9.4NonapplicabilityToFiduciariesOfEmployee

10.Amendments

10.1AmendmentOfBylaws

32

LEADERSHIPHIGHSCHOOL

BYLAWS

BYLAWS
fortheregulation,exceptasotherwiseprovided
bythestatuteofitsArticlesofIncorporation,

of

LEADERSHIPHIGHSCHOOL

aCalifornianonprofitpublicbenefitcorporation

I.MEMBERSHIP
Thecorporationhasnomembers.Therightswhichwouldotherwisevestinthe
membersvestinthedirectorsofthecorporation(hereinafter"Trustees")ofLeadership
HighSchool(hereinafter"LHS").Actionswhichwouldotherwiserequireapprovalbya
majorityofallmembersorapprovalbythemembersrequireonlyapprovalofamajority
ofallTrusteesorapprovalbytheBoardofTrustees(hereinafter"Board").
II.BOARDOFTRUSTEES
A.
Powers
TheBoardshallconductordirecttheaffairsofthecorporationandexerciseits
powers,subjecttothelimitationsoftheCaliforniaNonprofitPublicBenefit
CorporationLaw,theArticlesofIncorporationandtheseBylaws.TheBoard
maydelegatethemanagementoftheactivitiesofthecorporationtoothers,so
longastheaffairsofthecorporationaremanaged,anditspowersare
exercised,undertheBoard'sultimatejurisdiction.

WithoutlimitingthegeneralityofthepowersheregrantedtotheBoard,but
subjecttothesamelimitations,theBoardshallhaveallthepowersenumerated
intheseBylaws,andthefollowingspecificpowers:
1. ToelectandremoveTrustees.
2. Toselectandremoveofficers,agentsandemployeesofthe
corporationtoprescribepowersanddutiesforthemandtofix
theircompensation.
3. Toconduct,manageandcontroltheaffairsandactivitiesofthe
corporation,andtomakerulesandregulations.
33


4. Toenterintocontracts,leasesandotheragreementswhichare,in
theBoard'sjudgment,necessaryordesirableinobtainingthe
purposesofpromotingtheinterestsofthecorporation.
5. Tocarryonabusinessataprofitandapplyanyprofitthatresults
fromthebusinessactivitytoanyactivityinwhichthecorporation
mayengage.
6. Toactastrusteeunderanytrustincidentaltothecorporation's
purposes,andtoreceive,hold,administer,exchangeandexpend
fundsandpropertysubjecttosuchatrust.
7. Toacquirerealorpersonalproperty,bypurchase,exchange,lease,
gift,devise,bequest,orotherwise,andtohold,improve,lease,
sublease,mortgage,transferintrust,encumber,conveyor
otherwisedisposeofsuchproperty.
8. Toborrowmoney,incurdebt,andtoexecuteanddeliver
promissorynotes,bonds,debentures,deedsoftrust,mortgages,
pledges,hypothecationsandotherevidencesofdebtandsecurities.
9. Tolendmoneyandacceptconditionalorunconditionalpromissory
notestherefore,whetherinterestornoninterestbearing,orsecured
orunsecured.
10. Toindemnifyandmaintaininsuranceonbehalfofanyofits
Trustees,officers,employeesoragentsforliabilityassertedagainst
orincurredbysuchpersoninsuchcapacityorarisingoutofsuch
person'sstatusassuch,subjecttotheprovisionsoftheCalifornia
NonprofitPublicBenefitLawandthelimitationsnotedinthese
Bylaws.
B.
NumberofTrustees
ThenumberofTrusteesofthecorporationshallbenotlessthan15normorethan29.
TheBoardshallfixtheexactnumberofTrustees,withintheselimits,byBoard
resolutionoramendmentoftheBylaws.AsofthedateonwhichtheseBylawsare
adopted,theexactnumberofTrusteesisfixedat15.
C.
ElectionofTrustees
1.
Election
.TheLHSPrincipalshallautomaticallybeaTrustee.TheBoardshall
electtheremainingTrusteesbythevoteofamajorityoftheTrusteesthenin
office,whetherornotthenumberofTrusteesinofficeissufficienttoconstitutea
quorum,orbythesoleremainingTrustee.

34


2.
Eligibility
.TheBoardmayelectanypersonwhoinitsdiscretionitbelieves
willservetheinterestsofthecorporationfaithfullyandeffectively.Inadditionto
othercandidates,theBoardwillconsiderthefollowingnominees:
a.AparentofanactiveLHSstudent,whoisdesignatedbythe
LHSParents'AssociationtorepresentthatAssociation(the
"ParentRepresentative").

b.Followingthegraduationoftheinitialclass,analumnaor
alumnusofLHS,whoisdesignatedbytheLHSAlumni
AssociationtorepresentthatAssociation(the"Alumni
Representative").

c.AnLHSteacher,selectedbytheLHSfaculty(the"LHS
FacultyRepresentative").

d.AnLHSstudent,selectedbytheLHSstudentbody(the
"LHSStudentRepresentative").

3.
InterestedPersons
.Notmorethan49%ofthepersonsservingontheBoard
maybeinterestedpersons.An"interestedperson"is:(1)anypersoncurrently
beingcompensatedbythecorporationforservicesrenderedtoitwithinthe
previous12months,whetherasafulltimeorparttimeemployee,independent
contractororotherwise,excludinganyreasonablecompensationpaidtoa
TrusteeasTrusteeor(2)anysister,brother,ancestor,descendant,spouse,
sisterinlaw,brotherinlaw,daughterinlaw,soninlaw,motherinlawor
fatherinlawofanysuchperson.

4.
TermofOffice
a.ThetermofofficeofallmembersoftheinitialBoardof
Trusteesshallbeoneyear.

b.Attheendofthefirstyear,theBoardshallprovidefor
staggeredtermsofitsTrustees,bydesignatingapproximately
onethirdoftheTrusteestoone,twoandthreeyearterms.
Followingtheexpirationofthosedesignatedterms,thetermof
eachTrusteeshallcontinueforthreeyears,exceptthetermof
anyTrusteewhoistheParent,Alumni,LHSFacultyorLHS
StudentRepresentativeshallbeoneyear.

c.NoTrustee,otherthanaTrusteeservingasacorporate
officerortheLHSPrincipal,mayserveformorethanseven(7)
35


consecutiveyears.

d.ThetermofofficeofaTrusteeelectedtofillavacancyin
thesebylawsbeginsonthedateoftheTrustee'selection,and
continues:(1)forthebalanceoftheunexpiredterminthecase
ofavacancycreatedbecauseoftheresignation,removal,or
deathofaTrustee,or(2)forthetermspecifiedbytheBoardin
thecaseofavacancyresultingfromtheincreaseofthenumber
ofTrusteesauthorized.

e.ATrustee'stermofofficeshallnotbeshortenedbyany
reductioninthenumberofTrusteeresultingfromamendmentof
theArticlesofIncorporationortheBylawsorotherBoard
action.

f.ATrustee'stermofofficeshallnotbeextendedbeyondthat
forwhichtheTrusteewaselectedbyamendmentoftheArticles
ofIncorporationortheBylawsorotherBoardaction.
5.
TimeofElections
.TheBoardshallelectTrusteeswhosetermsbeginonJuly
1ofagivenyearattheAnnualMeetingforthatyear,orataRegularMeeting
designatedforthatpurpose,orataSpecialMeetingcalledforthatpurpose.
D.
RemovalofTrustees
TheBoardmayremoveaTrusteewithoutcauseasprovidedbytheCalifornia
NonprofitPublicBenefitCorporationlaw.TheBoardmayremoveanyTrustee
who:
1. HasfailedtoattendtwoormoreoftheBoard'sRegularMeetingsin
anycalendaryear
2. Hasbeendeclaredofunsoundmindbyafinalorderofcourt
3. Hasbeenconvictedofafelony
4. Hasbeenfoundbyafinalorderorjudgmentofanycourttohave
breachedanydutyimposedbytheCaliforniaNonprofitPublic
BenefitCorporationLawor
5. ForsuchothergoodcausesastheBoardmaydetermine.
E.
ResignationbyTrustee
ATrusteemayresignbygivingwrittennoticetotheBoardChairorSecretary.
Theresignationiseffectiveonthegivingofnotice,oratanylaterdatespecified
inthenotice.ATrusteemaynotresigniftheTrustee'sresignationwouldleave
36


thecorporationwithoutadulyelectedTrusteeinchargeofitsaffairs,without
firstgivingnoticetotheCaliforniaAttorneyGeneral.
F.
Vacancies
Avacancyisdeemedtooccurontheeffectivedateoftheresignationofa
Trustee,upontheremovalofaTrustee,upondeclarationofvacancypursuant
totheseBylaws,oruponaTrustee'sdeath.Avacancyisalsodeemedtoexist
upontheincreasebytheBoardoftheauthorizednumberofTrustees.
G.
CompensationofTrustees
Trusteesshallservewithoutcompensation.However,theBoardmayapprove
reimbursementofaTrustee'sactualandnecessaryexpenseswhileconducting
corporationbusiness.
III.PRINCIPALOFFICE
Thecorporation'sprincipalofficeshallbeat536MissionStreet,SanFrancisco,
California94105,oratsuchotherplaceastheBoardmayselectbyresolutionor
amendmentoftheBylaws.TheSecretaryshallnoteanychangeinprincipalofficeonthe
copyoftheBylawsmaintainedbytheSecretary.
IV.MEETINGSOFTHEBOARD
A.
PlaceofMeetings
BoardMeetingsshallbeheldatthecorporation'sprincipalofficeoratanyother
reasonablyconvenientplaceastheBoardmaydesignate.
B.
AnnualMeetings
AnAnnualMeetingshallbeheldinMayofeachyearforthepurposeofelecting
Trustees,makingandreceivingreportsoncorporateaffairs,andtransacting
otherbusinessascomesbeforethemeeting.
C.
RegularMeetings
RegularMeetingsshallbeheldatvarioustimeswithintheyearastheBoard
determines.
D.
SpecialMeetings
ASpecialMeetingshallbeheldatanytimecalledbytheChairorbyanyfive
Trustees.
E.
Adjournment
37


AmajorityoftheTrusteespresentatameeting,whetherornotaquorum,may
adjournthemeetingtoanothertimeandplace.Noticeofthetimeandplaceof
holdinganadjournedmeetingneednotbegiventoabsentTrusteesifthetime
andplacebefixedatthemeetingadjourned,exceptifthemeetingisadjourned
forlongerthan24hours,noticeoftheadjournmentshallbegivenasspecifiedin
theseBylaws.
F.
Notices
NoticesofBoardMeetingsshallbegivenasfollows:
1. AnnualMeetingsandRegularMeetingsmaybeheldwithoutnotice
iftheBylawsortheBoardfixthetimeandplaceofsuchmeetings.
2. SpecialMeetingsshallbehelduponfourdays'noticebyfirstclass
mailor48hours'noticedeliveredpersonallyorbytelephone,
facsimileoremail.Noticeswillbedeemedgivenwhendepositedin
theUnitedStatemail,addressedtotherecipientattheaddress
shownfortherecipientinthecorporation'srecords,firstclass
postageprepaidwhenpersonallydeliveredinwritingtothe
recipientorwhenfaxed,emailed,orcommunicatedorally,in
personorbytelephone,totheTrusteeoftoapersonwhomitis
reasonablybelievedwillcommunicateitpromptlytotheTrustee.
G.
WaiverofNotice
NoticeofameetingneednotbegiventoaTrusteewhosignsawaiverofnotice
orwrittenconsenttoholdingthemeetingoranapprovaloftheminutesofthe
meeting,whetherbeforeorafterthemeeting,orattendsthemeetingwithout
protestpriortothemeetingoratitscommencement,ofthelackofnotice.The
Secretaryshallincorporateallsuchwaivers,consentsandapprovalsintothe
minutesofthemeeting.
V.ACTIONBYTHEBOARD
A.
Quorum
AquorumconsistsofonethirdofthefixednumberofTrustees.
B.
ActionbytheBoard
1. ActionsTakenatBoardMeetings
.Theactionsdoneanddecisionsmadebya
majorityoftheTrusteespresentatameetingdulyheldatwhichaquorumis
presentaretheactionsanddecisionsoftheBoard,exceptforpurposesof
electingTrustees,appointingcommitteesanddelegatingauthoritythereto,or
amendingthecorporation'sBylaws,wheretheactionofamajorityofTrustees
theninofficeisrequiredbytheCaliforniaNonprofitPublicBenefitCorporation
38


LaworassetoutintheseBylaws.

TheBoardmaycontinuetotransactbusinessatameetingatwhichaquorum
wasoriginallypresent,eventhoughTrusteeswithdraw,providedthatanyaction
takenisapprovedbyatleastamajorityofthequorumrequired.
2. ActionsWithoutaMeeting
.TheBoardmaytakeanyrequiredorpermitted
actionwithoutameetingifalltheTrusteesindividuallyorcollectivelyconsentin
writingtothetakingofthataction.Suchconsentshallhavethesameeffecta
unanimousvoteoftheBoard,andshallbefiledwiththeminutesoftheBoard
proceedings.
3. BoardMeetingbyConferenceTelephone
.TrusteesmayparticipateinaBoard
meetingthroughuseofconferencetelephoneorsimilarcommunication
equipment,solongasallTrusteesparticipatinginsuchmeetingcanhearone
another.Participationinameetingpursuanttothissectionconstitutespresence
inpersonatsuchmeeting.
C.
Committees
1. AppointmentofCommittees
.TheBoardmayappointoneormoreBoardCommittees
byvoteofthemajorityofTrustees.ABoardStandingCommitteewillconsistofnotless
thantwoTrustees,whoshallserveatthepleasureoftheBoard.
2. AuthorityofBoardCommittees
.TheBoardmaydelegatetoaBoardcommitteeanyof
theauthorityoftheBoard,exceptwithrespectto:
a.TheelectionofTrustees.

b.FillingvacanciesontheBoardoranycommitteewhichhastheauthorityof
theBoard.

c.ThefixingofTrusteecompensationforservingontheBoardoronany
committee.

d.TheamendmentorrepealofanyBoardresolution.

e.TheamendmentorrepealofBylawsortheadoptionofnewBylaws.

f.TheappointmentofothercommitteesoftheBoard,orthemembersofthe
committees.

g.TheexpenditureofcorporatefundstosupportanomineeforTrustee.

39


h.Theapprovalofanyselfdealingtransaction,asdefinedbytheCalifornia
NonprofitPublicBenefitCorporationLaw.
1. ProceduresofCommittees
.TheBoardmayprescribethemannerinwhichthe
proceedingsofanyBoardCommitteearetobeconducted.Intheabsenceof
suchprescription,aBoardCommitteemayprescribethemannerofconducting
itsproceedings,exceptthattheregularandspecialmeetingsoftheCommittee
aregovernedbytheprovisionsoftheseBylawswithrespecttothecallingof
meetings.
D.
StandardofCare
1. PerformanceofDuties
.EachTrusteeshallperformalldutiesofaTrustee,
includingdutiesonanyBoardCommittee,ingoodfaith,inamannertheTrustee
believestobeinthecorporation'sbestinterestandwithsuchcare,including
reasonableinquiry,asanordinaryprudentpersoninalikepositionwoulduse
undersimilarcircumstances.
2. RelianceonOthers
.InperformingthedutiesofaTrustee,aTrusteeshallbe
entitledtorelyoninformation,opinions,reportsorstatements,includingfinancial
statementsandotherfinancialdata,presentedorpreparedby:
a.Oneormoreofficersoremployeesofthecorporationwhomthe
Trusteebelievestobereliableandcompetentinthematterspresented

b.Legalcounsel,independentaccountantsorotherpersonsasto
mattersthattheTrusteebelievesarewithinthatperson'sprofessionalor
expertcompetenceor

c.ABoardCommitteeonwhichtheTrusteedoesnotserve,asto
matterswithinitsdesignatedauthority,providedtheTrusteebelievesthe
CommitteemeritsconfidenceandtheTrusteeactsingoodfaith,after
reasonableinquirywhentheneedisindicatedbythecircumstances,and
withoutknowledgethatwouldcausesuchreliancetobeunwarranted.
3. Investments
.Ininvestinganddealingwithallassetsheldbythecorporationfor
investment,theBoardshallexercisethestandardofcaredescribedaboveand
avoidspeculation,lookinginsteadtothepermanentdispositionofthefunds,
consideringtheprobableincome,aswellastheprobablesafetyofthe
corporation'scapital.TheBoardmaydelegateitsinvestmentpowerstoothers,
providedthatthosepowersareexercisedwithintheultimatedirectionofthe
Board.Noinvestmentviolatesthissectionwhereitconformstoprovisions
authorizingsuchinvestmentcontainedinaninstrumentoragreementpursuantto
whichtheassetswerecontributedtothecorporation.

40


E.
RightsofInspection
EveryTrusteehastherighttoinspectandcopyallbooks,recordsanddocumentsof
everykindandtoinspectthephysicalpropertiesofthecorporation,providedthatsuch
inspectionisconductedatareasonabletimeafterreasonablenotice,andprovidedthat
suchrightofinspectionandcopyingissubjecttotheobligationtomaintainthe
confidentialityofthereviewedinformation,inadditiontoanyobligationsimposedbyany
applicablefederal,stateorlocallaw.
F.
ParticipationinDiscussionsandVoting
EveryTrusteehastherighttoparticipateinthediscussionandvoteonallissuesbefore
theBoardoranyBoardCommittee,exceptasnotedbelow:
1. TheLHSFacultyRepresentativeshallnotbepresentforthediscussionand
voteonanymatterinvolving:(a)theperformanceevaluationordisciplineofany
administratororfacultymember(b)administratororfacultycompensation(c)
ExecutiveSessionsoftheBoardor(d)anyothermatteratthediscretionofa
majorityoftheTrusteesthenpresent.
2. TheLHSStudentRepresentativeshallnotbepresentforthediscussionand
voteonanymatterinvolving:(a)theperformanceevaluationordisciplineofany
administrator,facultymemberorstudent(b)administratororfaculty
compensation(c)ExecutiveSessionoftheBoardor(d)anyothermatterat
thediscretionofamajorityoftheTrusteesthenpresent.
3. AnyTrusteeshallbeexcusedfromthediscussionandvoteonanymatter
involving:(a)aselfdealingtransaction(b)aconflictofinterest,(c)
indemnificationofthatTrusteeor(d)anyothermatteratthediscretionofa
majorityoftheTrusteesthenpresent.
G.
DutytoMaintainBoardConfidences
EveryTrusteehasadutytomaintaintheconfidentialityofallBoardactions,including
discussionsandvotes.AnyTrusteeviolatingthisconfidencemayberemovedfromthe
Board.Moreover,theLHSFacultyorStudentRepresentativemaybedisciplined,
includingimmediatedismissal,ifBoardinformationisdisclosedwithouttheChair'sprior
approval.
VI.OFFICERS
A.
Officers
TheofficersofthecorporationconsistofaPresident(hereinafter"Chair"),Vice
President(hereinafter"ViceChair"),aSecretaryandaChiefFinancialOfficer

41


(hereinafter"Treasurer").Thecorporationalsomayhavesuchotherofficersasthe
Boarddeemsadvisable.
1. Chair
.SubjecttoBoardcontrol,theChairhasgeneralsupervision,direction
andcontroloftheaffairsofthecorporation,andsuchotherpowersandduties
astheBoardmayprescribe.Ifpresent,theChairshallpresideatBoard
meetings.
2. ViceChair
.IftheChairisabsentordisabled,theViceChairshallperformall
theChair'sdutiesand,whensoacting,shallhavealltheChair'spowersandbe
subjecttothesamerestrictions.TheViceChairshallhaveothersuchpowers
andperformsuchotherdutiesastheBoardmayprescribe.
3. Secretary
.TheSecretaryshall:(a)keeporcausetobekept,atthe
corporation'sprincipaloffice,orsuchotherplaceastheBoardmaydirecta
bookofminutesofallmeetingsoftheBoardandBoardCommittees,notingthe
timeandplaceofthemeeting,whetheritwasregularorspecial(andifspecial,
howauthorized),thenoticegiven,thenamesofthosepresent,andthe
proceedings(b)keeporcausetobekeptacopyofthecorporation'sArticles
ofIncorporationandBylaws,withamendments(c)giveorcausetobegiven
noticeoftheBoardandCommitteemeetingsasrequiredbytheBylawsand(d)
havesuchotherpowersandperformsuchotherdutiesastheBoardmay
prescribe.
4. Treasurer
.TheTreasurershall:(a)keeporcausetobekeptadequateand
correctaccountsofthecorporation'sproperties,receiptsanddisbursements
(b)makethebooksofaccountavailableatalltimesforinspectionbyany
Trustee(c)depositorcausetobedepositedthecorporation'smoniesand
othervaluablesinthecorporation'snameandtoitscredit,withthedepositories
theBoarddesignates(d)disburseorcausetobedisbursedthecorporation's
fundsastheBoarddirects(e)rendertotheChairandtheBoard,asrequested
butnolessfrequentlythanonceeveryfiscalyear,anaccountofthe
corporation'sfinancialtransactionsandfinancialcondition(f)prepareany
reportsonfinancialissuesrequiredbyanagreementonloansand(g)havesuch
otherpowersandperformsuchotherdutiesastheBoardmayprescribe.
B.
Election,EligibilityandTermofOffice
1. Election
.TheBoardshallelecttheofficersannuallyattheAnnualMeetingora
RegularMeetingdesignatedforthatpurposeorataSpecialMeetingcalledfor
thatpurpose,exceptthatofficerselectedtofillvacanciesshallbeelectedas
vacanciesoccur.
2. Eligibility
.ATrusteemayholdanynumberofoffices,exceptthatneitherthe
SecretaryorTreasurermayserveconcurrentlyastheChair.

42


3. TermofOffice
.EachofficerservesatthepleasureoftheBoard,holdingoffice
untilresignation,removalordisqualificationfromservice,oruntilhisorher
successoriselected.
C.
RemovalandResignation
TheBoardmayremoveanyofficer,eitherwithorwithoutcause,atanytime.Such
removalshallnotprejudicetheofficer'srights,ifany,underanemploymentcontract.
Anyofficermayresignatanytimebygivingwrittennoticetothecorporation,the
resignationtakingeffectonreceiptofthenoticeoratalaterdateofspecifiedinthe
notice.

VII.NONLIABILITYOFTRUSTEES
TheTrusteesshallnotbepersonallyliableforthecorporation'sdebts,liabilitiesorother
obligations.

VIII.INDEMNIFICATIONOFCORPORATEAGENTS
ThecorporationshallindemnifyanyTrustee,officer,employeeorotheragentofthis
corporation,whohasbeensuccessful(1)onthemeritsindefenseofanycivil,criminal,
administrativeorinvestigativeproceedingbroughttoprocureajudgmentagainstsuchpersonby
reasonofthefactthathe/sheis,orwas,thecorporation'sagent,or(2)indefenseofanyclaim,
issueormattertherein.Insuchcase,thecorporationwillprovideindemnityagainstexpenses
actuallyandreasonablyincurredbythepersoninconnectionwithsuchproceeding.

Ifthecorporateagenteithersettlesanysuchclaimorsustainsajudgmentagainsthim/her,then
indemnificationagainstexpenses,judgments,fines,settlementsandotheramountsreasonably
incurredinconnectionwithsuchproceedingsshallbeprovidedbythiscorporationbutonlyto
theextentallowedby,andinaccordancewiththerequirementsof,theCaliforniaNonprofit
PublicBenefitCorporationLaw.

IX.INSURANCEFORCORPORATEAGENTS
TheBoardmayadoptaresolutionauthorizingthepurchaseandmaintenanceofinsuranceon
behalfofanyTrustee,officer,employeeorotheragentofthecorporation,againstanyliability
otherthanforviolatingprovisionsoflawrelatingtoselfdealingassertedagainstorincurredby
theagentinsuchcapacityorarisingoutoftheagent'sstatusassuch,whetherornotthe
corporationwouldhavethepowertoindemnifytheagentagainstsuchliabilityunderthe
provisionsoftheCaliforniaNonprofitPublicBenefitCorporationLaw.
43

X.SELFDEALINGTRANSACTIONS
Thecorporationshallnotengageinanyselfdealingtransactions,exceptasapprovedbythe
Board."Selfdealingtransaction"meansatransactiontowhichthecorporationisapartyin
whichoneormoreoftheTrusteeshasamaterialfinancialinterest("interestedTrustee(s)").
Notwithstandingthisdefinition,thefollowingtransactionsarenotselfdealingtransactions,and
aresubjecttotheBoard'sgeneralstandardofcare:
1. TheBoard'sactionoffixingaTrustee'scompensationasLHSPrincipal,aTrusteeor
corporateofficeror
2. Atransactionwhichispartofapublicorcharitableprogramofthecorporation,ifthe
transaction(a)isapprovedorauthorizedbytheBoardingoodfaithandwithout
unjustifiedfavoritism,and(b)resultsinabenefittooneormoreTrusteesortheir
familiesbecausetheyareinaclassofpersonsintendedtobebenefitedbytheprogram

XI.OTHERPROVISIONS
A.
FiscalYear
ThefiscalyearofthecorporationbeginsonJuly1ofeachyearandendsonJune30of
thefollowingyear.
B.
ExecutionofInstruments
ExceptasotherwiseprovidedintheseBylaws,theBoardmayadoptaresolution
authorizinganyofficeroragentofthecorporationtoenterintoanycontractorexecute
anddeliveranyinstrumentinthenameoforonbehalfofthecorporation.Suchauthority
maybegeneralorconfinedtospecificinstances.Unlesssoauthorized,noofficer,agent
oremployeeshallhaveanypowertobindthecorporationbyanycontractor
engagement,topledgethecorporation'scredit,ortorenderitliablemonetarilyforany
purposeoranyamount.
C.
ChecksandNotes
ExceptasotherwisespecificallyprovidedbyBoardresolution,checks,drafts,
promissorynotes,ordersforthepaymentofmoney,andotherevidenceofindebtedness
ofthecorporationmaybesignedbytheChair,TreasurerorLHSPrincipal.
D.
ConstructionandDefinitions
Unlessthecontextotherwiserequires,thegeneralprovisions,rulesofconstruction,and
definitionscontainedintheCaliforniaNonprofitCorporationLawandtheCalifornia
44


NonprofitPublicBenefitCorporationLawshallgoverntheconstructionofthese
Bylaws.Withoutlimitingthegeneralityoftheforegoing,wordsintheseBylawsshallbe
readasthemasculineorfemininegender,andasthesingularorplural,asthecontext
requires,andtheword"person"includesbothacorporationandanaturalperson.The
captionsandheadingsintheseBylawsareforconvenienceofreferenceonlyarenot
intendedtolimitordefinethescopeoreffectofanyprovisions.
E.
ConflictofInterest
AnyTrustee,officer,keyemployee,orcommitteememberhavinganinterestina
contract,othertransactionorprogrampresentedtoordiscussedbytheBoardor
BoardCommitteeforauthorization,approval,orratificationshallmakeaprompt,full
andfrankdisclosureofhisorherinteresttotheBoardorcommitteepriortoitsacting
onsuchcontractortransaction.Suchdisclosureshallincludeallrelevantandmaterial
factsknowntosuchpersonaboutthecontractortransactionwhichmightreasonablybe
construedtobeadversetothecorporation'sinterest.Thebodytowhichsuch
disclosureismadeshallthereupondetermine,bymajorityvote,whetherthedisclosure
showsthataconflictofinterestexistsorcanreasonablybeconstruedtoexist.Ifa
conflictisdeemedtoexist,suchpersonshallnotvoteon,norusehisorherpersonal
influenceon,norbepresentduringinthediscussionordeliberationswithrespectto,
suchcontractortransaction(otherthantopresentfactualinformationortorespondto
questionspriortothediscussion).Theminutesofthemeetingshallreflectthedisclosure
made,thevotethereonand,whereapplicable,theabstentionfromvotingand
participation.TheBoardmayadoptconflictofinterestpoliciesrequiring:
1. RegularannualstatementsfromTrustees,officers,keyemployeesto
discloseexistingandpotentialconflictininterestand,
2. Correctiveanddisciplinaryactionswithrespecttotransgressionsofsuch
policies.
Forthepurposeofthissection,apersonshallbedeemedtohavean"interest"ina
contractorothertransactionifheorsheistheparty(oroneoftheparties)contracting
ordealingwiththecorporation,orisadirector,trusteeorofficerof,orhasasignificant
financialorinfluentialinterestintheentitycontractingordealingwiththecorporation.
F.
InterpretationofCharter
WheneveranyprovisionoftheseBylawsareinconflictwiththeprovisionsofthe
Charter,theprovisionsoftheseBylawscontrol.

XII.AMENDMENT

45


AmajorityoftheTrusteesmayadopt,amendorrepealtheseBylaws.

CERTIFICATEOFSECRETARY
TheundersigneddoesherebycertifythattheundersignedistheSecretaryofthe
LeadershipHighSchool,anonprofitpublicbenefitcorporationdulyorganizedand
existingunderthelawsoftheStateofCalifornia,thattheforegoingBylawsofsaid
corporationweredulyandregularlyadoptedassuchbytheBoardofTrusteesofsaid
corporation,whichTrusteesaretheonlymembersofsaidcorporationandthatthe
aboveandforegoingBylawsarenowinfullforceandeffect.

DouglasT.Gneiser
Secretary

46

RolesOfTheBoardOfDirectors

TheBoardofDirectorsofeverynonprofitorganizationplaysmanyimportantrolesin
furtheringthepurposeoftheorganization.Thesemayinclude,butarenotlimitedto,the
following.

PLANNER:
fortheorganizationsfuture.

MONITOR:

EVALUATOR:

ORGANIZER:

EMPLOYER:

MOTIVATOR:

FUNDRAISER:

CATALYST:

PROMOTER:

SUPPORTER:

PROTECTOR:

ofthecurrentgoalsandobjectives.

ofmanagementefficiencyandprogrameffectiveness.

ofcommunityconstituenciestoassistthe
organization.

ofthepersonnelattheorganization.

ofthestaffandvolunteers.

toensurethatallnecessaryfundsareavailable.

forlongtermorganizationalchange.

ofthetotalorganizationaswellasofitsactivities.

oftheorganization'sprogramsandservices.

ofthepublicinterestinexchangefortaxexempt
status.

ADVOCATE:

ADVISOR:

LEADER:

GOVERNOR:

forissuesandpositionswhichmayaffectthe
organizationoritsconstituents.
totheExecutiveDirectoronissueswhichfallwithin
theexecutive'spurview.
tomovetheorganizationforwardandnotallowitto
stagnate.
tomakecorporatedecisions.

(Source:ManagementCornerstones,Inc.Milwaukee,WI,Revised1989,1990,1995,2000)

47

Chapter2:IdentificationAndRecruitmentOfBoardDirectors

CriticalBoardBuildingChallenge:Howdoesthecharterschoolboardrecruitboarddirectors
thatarecommittedtothecharterschoolandpossessskills,knowledgeandotherattributes
neededinorderfortheboardtoeffectivelycarryoutitsresponsibilities?

Introduction

AccordingtoDr.ChenziGrignano,directoroftheCharterSchoolsProjectatDuquesneUniversity,
charterschoolgovernanceoffersanexcitingopportunitytobuildapublicschoolleadershipteam
aroundsharedvaluesratherthanaroundtheunpredictableresultsofschoolboardelections.This
chapteronidentificationandrecruitmentofboarddirectorswillofferastepbystepapproachtotake
advantageofthisopportunity.

Thefirstboarddevelopmentpractice,andbyfarthemostimportant,ishavinganeffectiveboard
recruitmentandnominationsprocessinplace.Mostboardperformanceproblemscanoftenbetraced
tothecasualorhaphazardwaythatsomecharterschoolsgoaboutrecruiting,selectingandorienting
boarddirectors.Inmanycharterschoolsandotherorganizationsaswell,boardrecruitmentand
nominationsactivitiesarereallyadhocinnature.Typicalbylawlanguagedescribesaprocessinwhich
theboardpresidentappointsanominationscommitteewhoseshorttermtaskistorecruitcandidates
thatwillfillaspecifiednumberofvacanciesattheupcomingannualmeeting.

Akeyproblemisthetraditionalnominatingcommittee.Inmanycharterschools,ifthereevenisaformal
nominatingcommittee,ittypicallydoeslittlerealrecruitingwork.Insteadthenominatingcommitteeoften
reliesonwhomeverisavailablefromarelativelyclosed"circleoffriendsandsupporters"alreadyknown
totheorganizationorthecommitteemembers.

Incontrasttothetypicalshorttermrecruitmentprocessthatfocusesnarrowlyonfillinganticipated
boardvacanciesforthecurrentyear,theprocessthatwillbedescribedinthischapterhelpstoassure
thatthereisalongrangeplanforboardleadershiprecruitmentanddevelopment.Inthisapproach,the
identificationandrecruitmentofcharterschoolboarddirectorsassumesmajorimportance.Morethan
anyothersinglefactor,itwilldeterminethelongtermviabilityofthecharterschool.

Thislongrangeplanforrecruitinganddevelopingfutureboardleadershipcentersonthefollowing
questions:Whowillbeservingonandleadingtheboardoverthenextthreetofiveyears?Whatisour
plantoscoutboardleadershiptalentforthefuture?Howwillwegoaboutfosteringanddeveloping
futureboardleadership?Whatwe'rereallytalkingabouthereisextendingthetimelineforboard
recruitmentanddevelopmentactivities.

ElementsofanEffectiveRecruitmentProcess

48


Herearesomeofthecharacteristicsofalongrangeboardrecruitmentanddevelopmentprocess:

Establishyearroundcommittee.
Becauseboardrecruitmentandnominationsissuchan
importantactivity,Lookatitasayearroundcommitteefunctioninsteadofthetraditionalad
hocnominationsprocess.Reflectingthislongrangefocus,manyboardsarechangingthename
oftheirnominationscommitteetotheboarddevelopmentcommitteebecausedeveloping
leadersincludesmorethannominatingpeopletoserveontheboards.Ittrulyisanongoing,
yearroundfunction:prospecting,contacting,recruiting,orienting,supporting,providingongoing
training,andevaluatingboarddirectors.

Linkrecruitmenttothestrategicplan.
Itisimportanttomatchboardrecruitmentand
developmentactivitieswiththenewrequirementsanddemandscalledforbythestrategicplan.
Theidealtimetodothisisrightafterthestrategicplanningprocesshasbeencompleted.The
charterschoolboard,ortheboarddevelopmentcommittee,reviewsthemission,vision,goals
andstrategies,andthendeterminesanynewskills,knowledge,personalcontactsandother
attributesfutureboarddirectorswillneedtopossessinorderfortheboardtodoitspartin
advancingthestrategicplan.

Profilethecurrentboard.
Atthesametime,weneedtoanalyzethecurrentshapeofthe
charterschoolboard.Theboarddevelopmentcommitteecancreateaprofileofthecurrent
boardusingamatrixdesignedforthispurpose.Keyfactorsthatdefinesoughtafterexpertise,
knowledge,skills,experience,aswellasrelevantdemographicfactorsarearrangeddownthe
sideofthematrix.Thenamesofcurrentboarddirectorsarelistedalongthetopofthematrix.
TheCommitteethenusesthematrixtocompletetheprofile.IntheToolsSectionofthischapter,
thereareexamplesofmatricesforuseinboardrecruitmentplanning.

Focustherecruitingpriorities.
Byreviewingthecharterschoolstrategicplan,the
performancerequirementsoftheCharterSchoolcontract,aswellastheprofileofcurrentboard
strengthsandweaknesses,theboarddevelopmentcommitteeidentifiesthegapbetweenthe
skillsandknowledgeneededontheboard,andwhatboarddirectorscurrentlypossess.Based
onthisanalysis,theboarddevelopmentcommitteecannowsetclearrecruitingprioritiesfor
futureboardrecruitment.

Writeaboarddirectorjobdescription.
Anotherkeyelementintheboarddevelopment
processisawrittenboarddirectorjobdescription.Forthecharterschoolgoverningboardto
operatesuccessfullyeachmembermustunderstandandacceptthespecificdutiesand
responsibilitiesthatcomewithboarddirectorship.Moreandmoreorganizationshavefoundit
helpfultodevelopawrittenstatementoragreementforboarddirectors.Thisstatementserves
asajobdescriptionandclarifiesboardresponsibilities.Thejobdescription,inveryclear
language,setsforththeexpectationsthecharterschoolhasofitsboarddirectors.Themost
effectivejobdescriptionsarethosethatstateinbehavioraltermspreciselywhatboarddirectors
areexpectedtodo.

Formostcharterschoolboards,keyresponsibilitiesincludethefollowing:

49


1. Consistentattendanceatregularboardmeetings
2. Participationasanactivememberonitleastonecommittee
3. Participationinthefundraisingactivitiesoftheschoolinamannerappropriateforthat
boarddirectorand
4. Preparationinadvancebeforeregularboardmeetingsbyreadingandstudyingmaterials
sentinadvanceregardingkeyactionstheboardisexpectedtotakeatthenextmeeting.

Inaddition,manyorganizationsnowexpecttheirboarddirectorstoattendanannualboard
planningoreducationeventsometimesheldonanevening,oraweekend.Whilethereisnoone
rightwaytodevelopajobdescription,theformatthatyouchooseshouldcoversomeofthe
expectationslistedabove.Therearesamplecharterschoolboarddirectorjobdescriptionsin
theToolsSectionofthischapter.

Thiswrittenjobdescription,whichshouldbeperiodicallyreviewedandupdatedbytheboard
ofdirectors,isthecriticaltoolinrecruitmentofnewboarddirectors.Likeanyone
contemplatingaseriousvolunteercommitment,prospectivecharterschoolboarddirectorswill
wanttoknowwhatisexpectedofthemincludinganestimateoftherequiredtime.Avoidthe
temptationtodownplaytheresponsibilitiesofboarddirectorshipinordertomakeiteasyfor
theboardrecruittosayYES.Newboarddirectorswilleventuallyfindoutwhatthetrue
expectationsareandiftheyaredifferentfromwhattheyweretoldbeforecomingontothe
board,you'reintrouble!ThesamplejobdescriptionsintheToolsSectionofthischapterofthe
guidebookincludesomeofthebasicexpectationsthatmostcharterschoolsshouldhavefor
theirboarddirectors.Thesamplesarenotintendedtoservetheneedsofeverycharterschool
rather,considerthemasthestartingpointinthedesignofajobdescriptionthatmatchesyour
needs.

50

SampleRecruitingTimetable

Step1.EstablishAboarddevelopmentcommittee
Assuggestedearlierinthischapter,boardrecruitmentisayearround,ongoingactivity.Itrequiresan
activecommitteetoguidetheprocess.Insomecases,thebylawswillmandateacommitteetooversee
theboardrecruitmentandnominations.Ifnot,theboardneedstoestablishsuchacommittee.Inthe
past,thiscommitteehasusuallybeencalledtheboardnominationscommitteeortheboardrecruitment
committee.Moreandmoreorganizationsarerenamingthiscommitteetheboarddevelopment
committeetoreflecttheothercriticalresponsibilitiesofthisgroup.InChapter10,thereisasamplejob
descriptionfortheboarddevelopmentcommittee.

Step2.PrepareForActiveBoardDirectorRecruitment
Effectivepreparationforboarddirectorrecruitmentbeginswithreviewingthefollowing:

Bylawsofthecharterschool.
Thebylawsshouldspelloutwhoiseligibletoserveonthe
charterschoolboard.Theremaybespecificrequirementstoincludeanumberofparents,
communitymembers,andothers.Youneedtobesurethatyouareincompliancewiththe
bylaws,whichisafterallalegaldocument,regardingcompositionoftheboard,lengthofterms,
numberofvacanciestobefilled,aswellasthemannerinwhichvacanciesaretobefilled.In
somecases,boarddirectorsareelectedfromafieldofcandidatesgreaterthantheactual
numberofvacancies.Inothercases,theboarddevelopmentcommitteeisempoweredbythe
charterschoolboardwiththeresponsibilitytosearchforthebestqualifiedcandidatesandbring
aslatetotheboardwhichthenvotessomeoralloftheslateintoofficeaccordingtoprovisions
ofthebylaws.

Positiondescriptionforcharterschoolboarddirectors.
Thispositiondescriptionorjob
descriptiondescribedabovespellsouttheresponsibilitiesofcharterschoolboarddirectorship.
Ifyoudon'thaveone,youneedtodevelopone.Itisacriticaltoolinbuildinganeffective
board.Ifyoualreadyhaveapositiondescription,reviewittomakesureitisuptodateand
reflectsyourexpectationsofboarddirectorperformance.

Charterschoolcontract.
Similartothecommentsaboveregardingbylaws,itisimportant
thatthecharterschoolboardbeincompliancewiththecharterschoolcontract.Nodoubt,
thereisspecificmentionofhowthecharterschoolwillbegovernedandthespecificrolesand
responsibilitiesofthecharterschoolboard.

Strategicplan.
Especiallyafteranewstrategicplanhasbeendeveloped,itisimportantto
reviewthestrategicplantodetermineifthereareanyimplicationsforgovernance.For
example,asaresultofthestrategicplan,thecharterschoolmayhavedeterminedthatboard
needstobemorediverseorthattheschoolneedstostrengthenitsrelationshipwithkey
segmentsoftheoutsidecommunity.Suchstrategicprioritieswillhavebearingonboard
directorrecruitment.
Step3.DevelopAProfileOfTheCurrentCharterSchoolBoard

51


Theboarddevelopmentcommittee,utilizingoneoftheboardprofilematricesincludedintheTools
Sectionofthischapter,developsaprofileofthecurrentcharterschoolboard.Therecruitingmatrix
analyzesthecurrentboardaccordingtocriteriasetpreviously.Somecommonexamplesofcriteria
include:age,race,ethnicity,specificskills,communitycontacts,statusasparentofchildrenenrolledin
thecharterschool,etc.

Thereviewactivitiesinstep2mightsuggestnewcriteriatoaddtotheprofileand/orcriteriathatshould
bedropped.Usingtheresultsoftheprofile,theboarddevelopmentcommitteecreatesasetofrecruiting
prioritiesthatwillguiderecruitmentefforts.Examplesofrecruitingprioritiesmightinclude:

Morecommunityleaderswhohavetheabilitytoraisesignificantsumsofmoney
Moreindividualslivinginthecommunityservedbythecharterschool
Moreparentsofchildrenwhohavebeenenrolledinthecharterschoollessthantwoyears,etc.

Becausetherecruitingprioritieswilldeterminewhichindividualswillbeconsideredforboard
directorship(andwhichindividualswillnotbeconsidered),therecruitingprioritiesshouldbereviewed
bythecharterschoolboardbeforetheboarddevelopmentcommitteegoesontothenextstep.

Step4.DetermineStrategiestoBuildBoardDiversity
Anissueforcharterschoolboardsandboardofotherorganizationstodayisachievingdiversityin
11
compositionoftheboard.AccordingtoresearchcommissionedbytheAspenInstitute ,factorsrelated
tobuildingandmaintainingboarddiversityinclude(butarenotlimitedto)thefollowing:

Havinganominatingcommitteethatiscommittedtobuildingdiversity.
Makingdiversityapriorityfortheorganization.
Avoiding"tokenism"oranexpectationthatonepersonofcolorcanrepresenttheentire
community.
Engaginginculturaldiversitytrainingandactivities.

Theoverwhelmingconclusionofthisstudywastheconsensusthatbuildingboarddiversityisadifficult
processthatrequiresconstantattentionforsuccess.Thecharterschoolboard,ifitisseriousabout
buildingadiverseboardneedstoconsiderawrittenplanwithconcreteobjectivesthatreflectssomeof
thepointslistedabove.Withoutadoubt,thebestresourceavailableonthesubjectis
BuildingBoard
Diversity
byJenniferM.Rutledge.Shestates:Onaninclusiveboard,individualboarddirectors
contributeanarrayoftalents,skills,andintereststhatresultfromtheirownexperiencesandorigins.
Collectively,theboardisenrichedbydiversityasindividualstakeadvantageoftheirdifferencestowork
12
successfullytogetheronbehalfoftheorganization.

Beforeselectingprospectiveboarddirectorstocontact,consideringdevelopinganeffectiveplanfor
achievingandmaintainingboarddiversitywhichcanincludethefollowingsteps:

Fletcher,Kathleen,
BuildingBoardDiversity
:NonprofitSectorResearchFund,TheAspenInstitute,August1999.
Rutledge,JenniferM.,
BuildingBoardDiversity
,NationalCenterforNonprofitBoards,1994.

11
12

52


Whatdoesdiversitymeanforyourorganizationsboard?Inwhatwaysdoyouwantthe
boardtobemorediverse?(Race,ethnicity,age,sex,location,occupation,etc.)

Whatarethebarriersandobstaclestoachievediversity?Whataretherootcauses?

Whatstrategieswillovercomethesebarriers?

Developrecruitingstrategiestargetedtothegroupsandconstituenciesfromwhichyouwishto
recruit.

Setspecificmeasurabletargetsforachievingdiversity,forexamplerecruitatleasttwopeople
withfundraisingskills.Assignaccountabilityforachievingtherecruitingtargets.

Monitorprogress.

Step5.DevelopAnInitialListOfProspectiveBoardDirectors
Theboarddevelopmentcommittee,utilizingtheresultsofstep2and3aboveaswellasinputfromthe
charterschooladministrator,developsaninitiallistofprospectiveboarddirectors.Whichindividuals
bestfitthecriteria,whichistosay,whichindividualsmatchtherecruitingprioritiesestablishedbythe
boarddevelopmentcommittee.Itisimportantto"throwthenetwide"andconsideranumberof
potentialboardrecruitsgreaterthanthenumberofprojectedvacancies.Forexample,ifyouarefilling
fourvacanciesonthecharterschoolboard,initiallytrytoidentify1012potentialcandidates.(Youcan
doit!)

Afteridentifyingthisinitiallistofprospectiveboarddirectors,theboarddevelopmentcommitteeshould
thenexaminetheindividualsmorecloselyinlightoftherecruitingprioritiespreviouslyset.Basedonthis
review,theboardcanranktheindividualswithintheinitiallist.

Step6.ConductFirstRoundOfPersonalContactWithTopRecruitingProspects
Theboarddevelopmentcommitteeisnowreadytoinitiatepersonalcontactswiththeindividualsatthe
topoftheprospectlist.Thesecontactscanbemadeusingavarietyofmethods.Hereisonesequence
thatseemstoworkwell.

Thefirstcontactismadetobymeansofprintedmaterialsmailedtotheprospect.(Asamplerecruitment
packetisincludedintheToolsSectionofthischapter)Themailingconsistsofthefollowing:

Apersonalizedcoverletterthatinformstheprospectoftheboard'sinterestinthem,abrief
descriptionoftherecruitmentandnominationsprocess,andaskingiftheywouldliketobe
consideredforcharterschoolboarddirectorship.
Acopyofthepositiondescriptiondescribedearlierthatdetailstherolesandresponsibilitiesofa
boarddirector.
Additionalmaterialaboutthecharterschoolboardanditsresponsibilities
Aresponseformthattheprospectcanreturnindicatingtheywouldlikemoreinformationand/or
theywanttobeconsideredforboarddirectorship.

53


Thismailingisfollowedupwithpersonalcallsfromdesignatedmembersoftheboarddevelopment
committeetotheprospects.Thisisanimportantstepeveniftheprospectsarealreadywellknownby
membersofthecommittee.Inthepersonalcall,theboarddevelopmentcommitteemembercan
respondtoanyquestionstheprospectmayhaveaswellasdeterminetheprospect'slevelofinterestin
beingconsideredforboarddirectorship.Iftheprospectwantsmoreinformationand/orwantstobe
seriouslyconsideredforboarddirectorship,theyareinvitedtoattendaninpersonorientationsession.

Inadvanceoftheorientationsession,prospectiveboarddirectorscanalsobeofferedanopportunityto
visitthecharterschooliftheyareunfamiliarwithit,toobservetheeducationalprogramsinaction,and
talkwiththeadministratorandotherstaff.Additionallytheprospectiveboarddirectorcanbeinvitedto
attendameetingofthecharterschoolboardtogetanideaofhowtheschoolboardmakesdecisions
andconductsbusiness.SuchactivitiescanalsooccuraftertheinpersonorientationdescribedinStep6
below.

Step7.ScheduleAndConductOrientationSessionsWithProspectiveBoardDirectors
Thenextstepistoscheduleandconductinpersonorientationsessionswithprospectiveboard
directorswhohaverespondedtothemailingandphonecallsdescribedinstep5.Theseorientation
sessionsareanopportunityformembersoftheboarddevelopmentcommittee,thechairpersonofthe
charterschoolboardandthecharterschooladministratortoexplainmorefullytherolesand
responsibilitiesofthecharterschoolboardasawholeaswellasindividualboarddirector
responsibilities.Thepresenceoftheboardchairandtheadministratorinsuchorientationsessions
conveystoboardprospectstheimportanceofthepositiontheyarebeingaskedtoconsider.Ittakes
timefromthebusyschedulesofkeycharterschoolleadersbutthepayoffisimmenseandlongterm.If
timedoesnotpermit,thesecondbestwouldbeattendancebyoneormoremembersoftheboard
developmentcommitteeandthecharterschooladministrator.

Asampleorientationagendamightincludethefollowing:

Welcomeandintroductions
Overviewofthemission,visionandeducationalgoalsofthecharterschool.
Overviewoftherolesandresponsibilitiesoftheboardofdirectors.
Reviewoftheindividualboarddirectorjobdescriptiondetailingspecificexpectations(forexample,
committeework,meetingattendance,involvementincommunityoutreachandfundraising,etc.)
Opportunityforboardprospectstoaskquestions
Declarationsofwillingnesstoservebytheboardprospects
Otherinformationrequiredtocontinueintheboardrecruitmentprocess(forexample,completionof
aquestionnaireseeexampleintheToolsSectionofthischapter,etc.)
Nextsteps(thisdependsonthemannerinwhichnewmembersarebroughtontothecharterschool
boardforexample,willtherebeanelectionorwilltheboarddevelopmentcommitteecreateaslate
ofnamesthatisthenbroughttothefullboardforaction.

Attheendoftheorientationsession,individualswhonowunderstandwhatisexpectedofboard
directorsandwhowishtocontinueintheprocess,areaskedtocompleteaquestionnairethatprovides
somebackgroundinformation.Asampleofthisquestionnaire,CharterSchoolBoardApplication
Form,canbefoundintheToolsSectionofthischapter.Ifyourbylawscallforelection,someofthis
54


informationcanbeincludedincandidateprofilesthataredistributedtoallindividualseligibletovote.If
theirinterestlevelisveryhigh,thisquestionnairecanalsobedistributedtoboardprospectsinadvance
oftheorientationsession.Otherwisetheyllneedthedeadlinedateforreturningthecompleted
questionnairetotheboarddevelopmentcommittee.

Resistthetemptationtoexcusesomeindividualsfromattendanceattheorientationsessions.Itiscritical
thatallprospectiveboarddirectorsgetthesameinformationandthattheyallhaveanopportunitytoask
anyandallquestionsbeforetheyareaskedtoindicatetheirwillingnesstoserveontheboard.
Remember,theseindividualsarebeingaskedtomakeaserioustimecommitmentthat,inmostcases,
spanstwotothreeyears.Iftheyinsisttheydon'thaveanhourandahalfoftimetoattendthe
orientation,itshouldraisesomequestionsabouttheirlevelofcommitment.And,heavenforbid,thata
boardprospectmakesacommitmenttoattendtheorientationandthendoesn'tshowwithoutevena
phonecall.Whatdoesthistellyouaboutwhattoexpectfromthispersoninthefuture.Remember,the
boardofdirectorsofthecharterschoolisentrustedwithmajordecisionmakingresponsibility.You
needateamofpeoplewhocanbedependedupon.

Step8.Selection/AppointmentOfNewMembersToTheCharterSchoolBoard.
Aftertheorientationsessionsforprospectiveboarddirectorshavebeenheld,theboarddevelopment
committeemeetstoreviewalloftheindividualswhoparticipated.Itwillbeimportantforthecommittee
tocheckbackontheirrecruitingprioritiessetearlierintheprocess.

Inevaluatingtheprospectiveboarddirectors,theboarddevelopmentcommitteeshouldaskthe
followingquestions:

Doestheprospectappeartobecommittedtothemissionandeducationalphilosophyofthe
charterschool?
Cantheprospectcontributethetimenecessarytobeaneffectiveboarddirector?
Doestheprospectpossesssomeofthekeyskills,knowledgeandotherassetsthatmatchthe
boardtorecruitingpriorities?
Doesitappearthattheprospectcanplacethecharterschool'spurposesandinterestsabove
theirownprofessionalandpersonalinterestswhenmakingdecisionsasaboarddirector?

Thenextstep,thefinalselection/appointmentofnewmemberstothecharterschoolboard,dependson
theprovisionsoftheschool'sbylaws.Ifthebylawscallforanelectionfromamongallinterested
individuals,theboarddevelopmentcommitteewilldevelopballotsandotherelectionmaterialsas
required.

Ifthebylawsgivetheauthorityforselectionofnewboarddirectorstothecharterschoolboarditself,
thentheboarddevelopmentcommitteecanprepareaslatethatincludesthenamesofthecandidates
thataskedreflecttherecruitingprioritiesthatweresetatthebeginningoftheprocess.Theboardhas
theoptionhowever,toasktheboarddevelopmentcommitteetobringthenamesofallindividuals
identifiedintherecruitmentprocessdescribedabove.Theboardwillthenselectanumberof
candidatestofillthevacantpositions.

55


Ineithercase,whetherbyelectionorbyboardselection,newmembersthentaketheirplaceonthe
charterschoolboard.Otherorientationactivitiesoccur.Seethenextchapterformoreideasonhowto
carryouttheorientationofnewboarddirectors.

Summary
Whileitismoretimeconsuming,ifyouutilizetheapproachtoboarddirectorrecruitmentdescribedin
thischapter,theresultswillinclude:

Amoreaccurateassessmentofthecharterschoolsboardleadershipneeds,
Anorganizedprocesstoidentify,contactandsecurecommitmentsfromthebestqualified
individualstofillthoseboardtoleadershipneeds,and,
Asolidbeginningonanorientationprocessfornewboarddirectorsthathasalreadybegunwith
theirfirstcontactswiththecharterschoolduringtherecruitmentprocess.

Modelsoftheseessentialdocuments,proceduresandpracticesgatheredfromcharterschoolsandother
relevantexamplesthatwillbeapplicabletotheboardofanewcharterschoolcanbefoundintheTools
Sectionthatfollows.

SidebarShouldFamilyM embersServeOnTheSameBoard?
Aquestionthatmayariseinthenominationsandrecruitmentprocessis,Shouldfamilymembersthe
13
serveonthesameboard?TheNationalCenterforNonprofitBoardsoffersthefollowingadvice :
Ifyourorganizationdoesnothaveapolicyonnepotismonboard,itiswisetodiscusstheissuebeforeit
becomesone.Therearenolawsthatforbidfamilymembersfromservingonthesameboard,butitis
prudenttohaveamechanisminplacetoguidetheboardinthissituation.Enforcingits
conflictofinterestpolicyistheminimumaboardcandotoavoidunbalanceddecisionmaking.
Herearesomequestionsforthenominatingcommitteeasitscreenscandidates:

Isourboardsmallenoughtobevulnerableiffamilymemberswithsimilarinterestsarriveto
makedecisions?

Canweexpectfamilymembersalwaystorelatetoissuesasprofessionalsandleavepersonal
relationshipsathome?

Arewelimitingdiversityontheboardbyinvitingmembersofthesamefamilytojointheboard?

Dowehavegoodprocessesinplacetopromoteindependentdecisionmaking?

Arewediscriminatingagainstcandidatesonthebasisoftheirmaritalorfamilystatus?

Arewechoosingcandidatesfortheirpersonalqualificationsonly?

Source:WebsiteofNationalCenterforNonprofitBoards.www.ncnb.org

13

56

Chapter2:ToolsYouCanUse
SamplesOfFoundationDocuments

InvitationLetterAndPacket.
PositionDescriptionForIndividualBoardDirector.(2Samples)
ProspectiveBoardDirectorApplicationForm.
BoardofDirectorsNominationForm(Source:ManagementCornerstones,Inc.)
BoardProfileWorksheet.(2Samples)

EssentialResourcesforBoardRecruitment
BoardMemberOrientation
.PublishedbyAspenPublishers,Inc.Inspiteofthetitle,this
publicationincludesanumberofsampleformsanddocumentsusefulineverystepoftheboard
recruitmentprocess.Asanaddedfeature,alloftheformsandworksheetsinthemanualare
availableonaMacintoshandIBMcompatiblediskette.
BuildingBoardDiversity
,byJenniferM.Rutledge.PublishedbytheNationalCenterfor
NonprofitBoards.Thispublicationprovidesacomprehensiveapproachfordevelopingand
implementingaplantobuildaboardthatismorediverseandinclusive.Oneofthefew
resourcesofitskind,itincludesanumberofworksheets.

57

InvitationLetterDraft
DATE
Dear[name]:

InAprilofthisyear,newboarddirectorswillbeappointedtotheboardofdirectorsofthe(nameof
CharterSchool).Youhavebeenrecommendedtoourboarddevelopmentcommitteeasapossible
candidateforboardservice.Wearerequestingyoutogiveseriousconsiderationtonominationfora
boardposition.Anumberofoneyear,twoyear,andthreeyearboardtermswillbeavailablebeginning
inApril2001.

Thenextseveralyearspromisetobeexcitingonesfor(nameofCharterSchool).The(nameofCharter
School)willcontinuetohaveapositiveimpactchildandfamiliesweserve.Theboardofdirectorswill
playacentralroleinthisimportantwork.

BecauseofyourexperienceandinvolvementintheCharterSchooland/orcommunity,wefeelyouare
wellqualifiedtobenominatedforaboardposition.Asyouconsiderthisopportunity,weaskyou
reviewtheboarddirectorpositiondescriptionincludedinthismailing.Asyouwillsee,weareexpecting
theboardtobeanactiveone.

Aprimaryresponsibilityofboarddirectorsistoparticipateinthedevelopmentofpolicyandmajor
decisionmakingatboardmeetingsheldatleasteightayear.Anotherkeyresponsibilityistobeactive
onanongoingbasisinacommitteeoftheboard.Thisyear,boardnomineeswillbeaskedtomakethat
commitmentbeforetheyarevotedontotheboard.Copiesofcommitteedescriptionsarealsoincluded
inthismailingforyourreview.

Sinceitsopeningin1998,(nameofCharterSchool)hasbecomerecognizedasaneffectiveeducational
leaderhavingrealimpactwithinthecommunity.Weinviteyoutobecomeapartofthisgrowing
tradition.

Amemberofourboarddevelopmentcommitteehasbeenaskedtocontactyoubyphonetodiscuss
thisinvitationwithyou.Youmayhavealreadyreceivedthiscall.Inthemeantime,ifyouwishtobe
consideredasacandidatefortheBoardofDirectors,pleasesendintheenclosedresponseform.If
youransweris"yes,youwillbeaskedtoattendashortorientationmeetingtoreviewboard
responsibilitiesinmoredetailandtoreceiveadditioninformationaboutthe(nameofCharterSchool).

Ifyouhaveanyquestions,pleasecontactmyselfortheCharterSchoolAdministrator,(name),at
5555555.

Sincerely,

(Name),President
CharterSchoolBoardofDirectors

58

BoardNominationsResponseForm

CheckOne:

____ IaminterestedinbeingconsideredforaCharterSchoolboardposition.

Contactmewithinformationabouttheupcomingorientationsession.

____ Contactme.IneedmoreinformationbeforeIcandecideifIwanttobe

consideredforaboardposition.

Name_______________________________________________________

DayPhone__________________EveningPhone____________________

ReturnByMailTo:

BoardDevelopmentCommittee
CharterSchool
Address

OrReturnByFaxTo:5555555

59

SampleCharterSchoolBoardDirectorPositionDescription

1. AttendregularmeetingsoftheCharterSchoolboard,whichareeachapproximatelytwohoursin
duration.Theboardmeetsatleasteight(8)timesperyear.Beaccessibleforpersonalcontactin
betweenboardmeetings.

2. Provideleadershiptoboardcommittees.Eachboarddirectorisexpectedtoserveasanactive,
ongoingmemberofatleastonecommittee.Thisrequiresanumberofmeetingsperyearplus
individualcommitteetaskcompletiontime.Presentlycommitteesincludeeducationalpolicy,
resourcedevelopment,strategicplanning,boarddevelopment,personnel,finance,andexecutive.

3. CommittimetodevelopingfinancialresourcesfortheCharterSchool.Thisincludesmakinga
personallymeaningfulfinancialgiftaswellassupportingotherfunddevelopmentactivitiesofthe
CharterSchoolinamannerappropriateforboarddirectors.

4. Responsiblyreviewandactuponcommitteerecommendationsbroughttotheboardforaction.

5. Prepareinadvancefordecisionmakingandpolicyformationatboardmeetingstakeresponsibility
forselfeducationonthemajorissuesbeforetheboard.

6. Participateintheannualboarddirectorselfreviewprocess.

7. ParticipateintheannualboarddevelopmentandplanningretreatusuallyheldinMarchofeachyear.

8. Ingeneral,utilizepersonalandprofessionalskills,relationshipsandknowledgefortheadvancement
oftheCharterSchool.

Iamawarethatthisboarddirectorpositiondescriptionisanexpressionofgoodfaithandprovidesa
commongroundfromwhichboarddirectorscanoperate.AdditionalinformationontheCharterSchool
mission,educationalprogramandboardresponsibilitiesiscontainedintheboardorientationmaterials
andbylawswhichIhaveread.

____________________________________________

_________________
BoardDirectorsSignature
Date

60


JEFFERSONACADEMY

BoardMemberProfileAgreement
JeffersonAcademyBoardofDirectorsshallhaveafirmbeliefinthefundamental,traditionalformatand
becommittedtousingtheCoreKnowledgeandOpenCourtcurriculums.Directorsshallbefully
committedtothecharterschoolconcept.
ThepurposeoftheBoardofDirectorsistodirect,notmanage,theschool.Boardmembersshallbe
abletomanage,carryouttheJeffersonAcademyvision,fosterrelationshipswithstaffandtheschool
community,andoverseethebudget.

Qualifications
ReadProfessorE.D.Hirsch'sbook"CulturalLiteracy"and"TheSchoolsWeNeedandWhy
WeDon'tHaveThem"andagreewiththeprinciplethatoursocietyhasafoundationof
knowledgeuponwhichsubsequentlearningisbuilt.
BefamiliarwiththeCoreKnowledgeScopeandSequence
UnderstandthecurriculumusedinOpenCourt
Beinagreementwiththeeducationalphilosophy,disciplinepolicyandadministrativestructureof
ourschool

AllboardmembersshouldattendatleasttwoPTOmeetingsayeartoshowsupportand
encouragementforthatvitalaspectofourschool.JAboardmemberswillnotserveonthePTOboard.
BoardmembersmaychairandserveoncommitteesofthePTO.
Priorboardexperienceishelpful.Ahighvalueforprofessionalismandthesuccessoftheschoolis
mandatory.Motivationforservingontheboardshallbetohelpguaranteetheeducationalsuccessof
students.

Allboardmembersarerequiredtoattendayearlyboardconferencewherethegoalsoftheboardare
defined,aboardselfevaluationcritiqued,outsidespeakerspresentinformationoneffectiveboard
leadershipandotherpertinenttopicsarediscussed.
TheboardwillannuallyattendaBoardVisitDay.Duringthistime,directorswillvisitclassrooms,talk
withthestaffandbecomefamiliarwithcurrentschoolconcerns.Theboardwillannuallyselfevaluate
itself.Goalsforthenextyearwillalsobedeterminedatthattime.Directorsshallfulfilltheir
responsibilitiesontheboard,boardcommitteesorsubcommitteestotheirfullestcapability.Allboard
membersshouldbethebestpublicrelationsrepresentativestheschoolhas.

BehavioralExpectations
Expectationsincludeaprofessionaldemeanoratallboardmeetings.Issuesbeingdiscussedshallnotbe
personalizedanddirectedtowardanyotherboardmember,staffmember,parentoranyoneelse.
Confidentialityisexpectedinallsituations.
Boardmembersshallrespectandlistentoideasbeingpresentedbyotherboardmembers.

Boardmembersfulfillingtheirresponsibilitiestotheirfullestpotentialshallbeencouragedbyeachofthe
directors.
61


Whenreceivingcriticismsfromparentsorotherinterestedpartiesaboutstafforotherboardmembers,
theboardmembershalldirectthespeakertotheboardmember/staffmemberwhichthesituation
involves.Boardmemberswillneverspeaknegativelyaboutstafforotherboardmemberstotheschool
community,orpartiesoutsidetheschoolcommunity.

Conflictsshallberesolvedwiththepeoplewithwhichitwascreated.Boardmemberswillcommitto
resolvingconflictdirectlywitheachotherorwiththeappropriatestaffmemberandnotsharetheconflict
withanyoneoutsideoftheconflict,including,butnotlimitedtootherparents,otherstaffmembersorthe
media.

Boardmembersshallexemplifyintegrity,honestyandrespect.Adedicationandcommitmenttothe
visionofJeffersonAcademyandthecharterschoolmovementshallbetoppriorityforanyboard
member.Anyboardmemberfindinghimselforherselfinvolvedinanunresolvableconflictshallputthe
visionoftheschoolfirstandstepdownfromtheboard.

Boardmembersshallabidebytheopenmeetingslaw[C.R.S.246401through402].Theopening
meetingslawstatesthatanyonediscussingboardbusiness,policy,actions,resolutions,etc.withanyone
elseontheboard,exceptatregularlyscheduledmeetings,isillegal."Meeting"withanotherboard
memberisdefinedascommunicationthroughperson,telephone,oranyothermeans.Confidentialitylaw
isalsooutlinedinthissectionofthestatute.Personnelmatters,individualstudents,andnegotiationsare
confidentialbylaw.

Boardmembersmissingmorethantwoconsecutiveboardmeetingswithoutpriorapprovalfortheir
absencefromatleasttwootherboardmembersshallberelievedoftheirboardinvolvement
immediately.

GovernanceofJeffersonAcademy
JAshallbegovernedbyaBoardofDirectors.ThePrincipalofJAshallanswerdirectlytotheboard
andserveatthepleasureoftheboard.ThePrincipalshallmakedecisionsonadaytodaybasisand
fulfillalladministrativedutiesfortheschool.Theboardwillmaintainthevisionandsteertheschool's
directionasitcarriesouttheMissionStatement.
Aswithallcharterschools,JeffersonAcademy,isanentityseparatefromtheschooldistrictinthearea
ofgovernance.Thisuniquecharacteristicofchartersshallbeguardedbyeachboardmember.

BoardmemberswillnotquestionanydecisionmadebythePrincipalinanypublicarena.Ifadirector
questionsadecision,heorsheshallimmediatelytakethatconcernordisagreementtotheadministrator
inaconfidentialanddiplomaticformat.Likewise,thePrincipalshallagreetothesamecommitment.
Respectforeachothershallremainconstant.

Whileattheschool,boardmembersshallbemindfulofthedifferentrolestheyplay:parent,volunteer,
boardmember,etc.Aboardmemberwillnotusetheirpositionofauthoritywhileactingintheirparent
orvolunteerroles.Directorsshallfostergoodrelationshipswiththeadministratorandstaffonapersonal
level.Withhumility,eachboardmemberwillservethebestinterestsoftheschool.

62


Boardmembersshallrememberthatsteppingoutoftheiradvisory/boardcapacityandattemptingtorun
theschoolasanadministrator,willalwayscauseproblems.

ThevisionandmissionstatementofJeffersonAcademy,afundamentalcharterschool,willserveto
guideanddirecttheboardofdirectors.Thegoaltocontinuallyimprove,maintainintegrity,serveJA
familiesandensureacademicsuccessforourstudentsshalltakeprecedenceinallsituations.

Signed,this______________dayof____________________,19__.

___________________________BoardMember,JeffersonAcademy

63

CharterSchoolBoardApplicationForm

CompletethisformandreturntotheCharterSchoolBoardDevelopmentCommitteeby(date)

Name_____________________________________________Phone____________

Address_____________________________________________________________

RelevantCommunityExperienceand/orEmployment(attacharesumeifrelevant):

WhyareyouinterestedinservingasaboarddirectoroftheCharterSchool?

Area(s)ofexpertise/ContributionsyoufeelyoucanmaketotheCharterSchoolasaboarddirector:

Othervolunteercommitments:

ForBoardCommitteeUse

____NomineehashadapersonalmeetingwiththeBoardDevelopmentCommitteeChair,Board
Chair,CharterSchoolAdministrator,orotherboarddirector.Date______

____NomineereviewedbytheBoardDevelopmentCommittee.Date______

____Nomineeattendedaboardmeeting.Date______

____Nomineeinterviewedbytheboard.Date______

Actiontakenbytheboard:

64

BoardOfDirectorsNominationForm

(Source:ManagementCornerstones,Inc.Revised1997,2000.Thisformcanbeusedtoforward
suggestionsforpotentialboarddirectorstotheboarddevelopmentcommittee.)

NOMINEE
:__________________________________________________

EmployerandTitle:_____________________________________________

Address:______________________________________________________
Street
State
Zip

Phone:(W)(_____)________________(H)(_____)____________________

Recommendationfor:
Board

Committee:____________________
Describeskillsandtalentsofthenominee:
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________

Toyourknowledge,whataccesstoresourcesdoesthisnomineepossess?
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________

Whyareyourecommendingthisperson?
_____________________________________________________________
_____________________________________________________________
______________________________________________________________
____________________________________________________________

Nominator:_____________________________Date:______________

PleasereturnthecompletedformtotheBoardDevelopmentCommittee.
65

CharterSchoolBoardProfileWorksheetSample1

CurrentBoardDirectors
GENDER:
Female
Male
AGE:
2035
3655
56+
RACE/ETHNICITY:
AfricanAmerican
Caucasian
NativeAmerican
Hispanic
AsianAmerican
Other:
LOCATION:
City
Suburban
Rural
Other:
CONSTITUENCY:
Parent
Civic/Business
Educator
Community
Other:
SKILLS:
Fundraising
PublicRelations
Planning
Financial
Personnel
Legal
EducationExpertise:
OTHER:

Termending2000

Termending2001

Termending2002

66

CharterSchoolBoardProfileWorksheetSample2
CategoriestoConsider
Areaofexpertise/professional
skills:
Organizationalandfinancial
management
Communitydevelopment
Administration
Academic/education
Business/corporate
Accounting
Bankingandtrusts
Investments
Fundraising(bothprofessional
fundraisersandthosewith
leverageingettingfunds)
Charterschoollaw/regulations
Governmentrepresentative
Law
Marketing
Personnel
Physicalplant(architecture,
engineer)
Strategicorlongrangeplanning
Publicrelations
Realestate
Communityresident
Parentofchildinschool
Businessowner
CategoriestoConsider
Personalcharacteristics
Under35
From35to50
From51to65
Over65
Women
Men
Physicaldisability
Race/ethnicbackground
Asian

MikeM.

LeoJ.

Sherm
H.

JimS

Doris
G.

X
X

X
X

X
X

X
X

X
X

MikeM.

X
X

Leond
J.

Sherm
H.

JimS

JaneG. AllenS.

X
X

X
X
X

JaneG. J.Allen Doris


S.
G.

X
X
X

67


AfricanAmerican
Hispanic
NativeAmerican
Caucasian
Geographiclocation
City
Suburbs
State
Regional
Financialposition
Selfemployed
Salaried
Philanthropicreputation

68

69

Chapter3:OrientationandTrainingofBoardDirectors

CriticalBoardBuildingChallenge:Howdocharterschoolboarddirectorsacquiretheskills
andknowledgetheyneedtobeeffectiveleadersanddecisionmakers?

Introduction

Providingnewboarddirectorswiththeinformationtheyneedtoperformeffectivelyisthenextcritical
stepindevelopingastrongboardofdirectorsforthecharterschool.Theresponsibilityfordeveloping
andimplementinganeffectiveprogramofboardorientationissharedbetweenthecharterschool
administratorandtheboarditself.Theremustbeacommitmenttodevelopingawellinformedboard,
onewiththeknowledgeneededtoleadaneffectivecharterschool.Withintheboard,theresponsibility
canbedelegatedtotheboarddevelopmentcommitteethathasbeenalreadymentionedinprevious
chapters.Theboarddevelopmentcommittee,workingcloselywiththeboardchairandthecharter
schooladministratorshouldplanaformalprogramofboardorientationfornewmembers.Theelements
ofthisformalprogramaredescribedinmoredetailinthischapter.

Inadditiontothisnewboarddirectororientation,theboarddevelopmentcommitteewillalsobe
responsibleforplanninganannualandongoingboardeducationandtrainingprogramforallofthe
board.Theboarddevelopmentcommitteeshouldalsoplanmorespecializedtraininganddevelopment
activitiestostrengthentheleadershipskillsofboarddirectorswhoarebeinggroomedforother
leadershippositionswithintheboard.Strategiesandprogramideasforthisongoingtrainingarealso
includedinthischapter.

Thisorientationprocesshasalreadybegunduringtherecruitmentandnominationsphasedescribedin
Chapter2ofguidebook.Throughouttheorientationprocess,awrittenboardmanualwillbean
indispensableresource.LookintheToolsSectionofthischapterforsampletableofcontentsofa
boardmanual.

Beforewegetintosomeofthedetails,awordaboutthecontentandthetimingofboardorientation.In
orderforittohavemaximumvalueandimpact,trainingandorientationmustbeprovidedinatimely
manner.Theproblemformanycharterschoolsisthatitcansometimestakenewboarddirectors
severalmonthsandevenafullyearbeforetheybegintofunctioneffectivelyintheirroleasboard
directors.Inordertospeedupthelearningcurve,someboardsarebeginningtodeliverboard
orientationona"justintime"basis.Information,thatinthepast,mightnothavebeenprovidedtoboard
directorsuntiltheywereontheboard,isnowbeingprovidedearlieraspartoftherecruitmentprocess.
Inthisapproach,newboarddirectorsreceiveanadvanceprogramoforientationtrainingtoprepare
themtohitthegroundrunningattheirfirstboardmeeting.

Here'showsuchaboardorientationprogrammightwork:evenbeforeaprospectiveboarddirectoris
votedontotheboard,heorshewillreceivedetailedinformationabouttheorganization,theworkingsof
theboard,expectationsforindividualboarddirectors,andothervitalinformation.Aneffective
"justintime"boardorientationprogramwillalsofocusonthestrategicplanoftheorganization.Itis
70


criticalthatprospectiveboarddirectorsarefamiliarwiththemission,vision,majorgoals,andstrategies
oftheorganization.Afterthenewboarddirectorhasbeenbroughtontothecharterschoolboard,
additionalinformationandtrainingisprovidedsothat,tothegreatestextentpossible,newboard
directorswillbeabletoactivelyparticipateintheirfirstmeetingwithconfidence.Inthiswaythe
productivityandthesenseofpersonalsatisfactionofnewboarddirectorsisassured.

BoardOrientationTimetable

Now,let'slookattheorientationprocessasitproceedsthroughthefollowingstages:

DuringTheRecruitmentStage(BeforeElectionOrAppointmentToTheCharterSchool
Board):
Asmentionedabove,orientationofboarddirectorsofthecharterschoolactuallybeginsearlyinthe
recruitmentprocess.Intherecruitmentstage,bymeansofprintedmaterialmailedtotheprospectas
wellasafacetofaceorientationsession,theprospectreceivedanoverviewofthecharterschool's
missionandstrategicplan,thecharterschoolcontract,theeducationalprogram,financialdata,and
otherbackgroundinformation.Theprospectalsoreceivedalistofexpectationsofboarddirectors
includingnumberofmeetings,committeeassignments,lengthofboardtermandanideaofthetime
commitmentrequired.Theymighthavealsoreceivedalistofcurrentboarddirectorsandotherkey
volunteers,aswellasacopyofthecharterschoolbylawsandthelastannualauditoftheschool.

NewMemberOrientation(ImmediatelyUponTheElectionOrAppointmentToTheCharter
SchoolBoard):
Afterthenewmemberhasbeenbroughtontothecharterschoolboard,eitherasaresultofanelection
orbyappointmentbythecharterschoolboarditself,thenewboarddirectororientationprocess
continuesinthefollowingway.

1. Beforethefirstboardmeeting,scheduleameetingbetweenthenewboarddirectorandkey
individualsinthecharterschool.Provideadetailedboarddirectormanual,whichshould
includebylaws,articlesofincorporation,thecharterschoolcontract,athoroughdescriptionof
theeducationalprogramincludingeducationalphilosophy,curriculum,instructionalmethods,
assessment,thecurrentbudget,lastauditedfinancialstatementsalistofboarddirectorsand
theiraddresses,listsofcommitteesandanystaffassignments,copiesofminutesfortheprevious
yearandacopyofthecharterschoolstrategicplan.

Alsoduringthismeeting,discusswiththenewmemberoptionsforcommitteeinvolvement.
Referbacktotheboarddirectorjobdescriptionpresentedtothenewboarddirectorduringthe
recruitmentprocess.(SeesampleboarddirectorjobdescriptionsintheToolsSectionof
Chapter2)Inmostcases,committeeinvolvementbyboarddirectorsisnotanoptionbut
ratheroneoftheexpectations.Thereshouldbeasolidmatchbetweentheinterests,skillsand
preferencesoftheindividualboarddirectorandtherequirementsandchallengesofthe
committeetheyjoin.Thereismorediscussionofthismatchinthechapteroncommittees.

71


HereisanexampleofanewboarddirectororientationprogramheldatLeadershipHigh
SchoolinSanFrancisco.Theprogramisheldonaregularschooldayfrom9a.m.to2p.m.
Theorientationbeginswithawelcomeandoverviewbytheprincipalandtheboardpresident.
Thisoverviewcoversthehistoryoftheschool,thechartercontractandfuturechallengesfacing
LeadershipHighSchool.Thentheboardresponsibilities,committeestructureandboard
meetingsaredescribedindetail.Finallythereisadialoguewithnewboarddirectorsabouthow
theirskillsandconnectionscanbeputtobestuseintheserviceofthecharterschool.At10
a.m.,thenewboarddirectorsattendclassestoobserve.Atnoon,lunchisserved.Finallyat
1:00p.m.,thenewboarddirectorsattendafaculty/staffmeeting.Theprogramendsat2p.m.

2. Atthenewmembers'firstboardmeeting,introducethemtoallcurrentboarddirectorsandstaff.
Considerassigningamentorboarddirectortoworkwiththenewboarddirectoratleast
throughthefirstseveralmonths.

EarlyService(DuringTheFirstThreeMonthsOfTheNewBoardDirectorsTenure):
1. Haveregularcheckendsbetweenthenewboarddirectorandtheirboardmentortoanswer
questionsandhelpthememberbecomeacquainted.
2. Makesurethatthenewboarddirectorhasbecomeinvolvedintheirchosencommittee
assignmentandcontinueorientationtotheworkofthatspecificcommittee.Thisresponsibilityis
sharedbythepresidentoftheboard,thechairofthecommitteeandwhenappropriate,the
charterschooladministrator.
3. Continuetoprovidewrittenbackgroundmaterialstothenewmemberinresponsetotheir
interestsandquestions.

OngoingOrientation(Orientation,TrainingAndSupportOnAnOngoingBasisForOldAnd
NewBoardDirectorsAlike):
1. Consultwiththecommitteechairandstafftoobtainfullinvolvementofthenewboarddirector.
2. Continuetoprovideassistanceandsupportsothattheycancarryouttheresponsibilitiesas
boarddirectorseffectively.
3. Provideopportunitiesforboarddirectorstoattendspecialworkshopsrelatedtotheir
assignmentsandinterests.Providespecialleadershiptrainingtocurrentandprospectiveofficers
(president,vicepresident,secretary,treasurer).
4. Lookforopportunitiestoexpandresponsibilitiesofboarddirectorsandrotatecommittee
assignmentstohelpsatisfytheinterestsandneedsofeachboarddirector.Thishastheadded
advantageofprovidingopportunitiesforcontinuousdevelopmentofthevolunteerleadersforthe
charterschool.

DeterminingOrientationandTrainingNeedsofBoardDirectors

72


Inordertolearnwhatnewboarddirectorsreallyneedfromtheorientationandtrainingprogram,past
andcurrentboarddirectorscanbeaskedthefollowingquestion:"Whatdoyouknownowthatyou
wishyouhadknownwhenyoufirstjointheboard?"Theresponsescanbeusedtodevelopthecore
curriculum.Anotherapproachistosimplyasknewboarddirectorstoidentifyareaswhereorientation
wouldbemosthelpful.

Relatedtothislastapproach,theorientationprogramcanbedesignedtoanswerthefollowingquestions
14
thatprospectiveboarddirectorsareurgedtoaskbytheNationalCenterforNonprofitBoards .You
canusethesequestions,adaptedforacharterschoolboard,asachecklisttoassesstheadequacyof
yourorientationfornewboarddirectors:

Questionsaboutthecharterschoolseducationalprograms:
Whatisthecharterschoolsmission?
Howdoitscurrenteducationalprogramsrelatetothemission?
CanIvisittheschoolandclassroomstoobservefirsthand?
Doesthecharterschoolhaveastrategicplanthatisreviewedandevaluatedonaregularbasis?

Questionsaboutthecharterschool'sfinancialstatus:
Isthefinancialconditionofthecharterschoolsound?
Inadditiontotheperpupileducationalfunding,whatothersourcesofrevenuedoesthecharter
schoolrelyon?
Doestheboarddiscussandapprovetheannualbudget?
Howoftendoboarddirectorsreceivefinancialreports?

Questionsaboutthecharterschool'sconstituents:
Describethechildrenandfamiliesservedbythecharterschool?
Arethechildrenandfamiliesservedbythecharterschoolsatisfiedwiththeorganization?How
doyouknow?

Questionsaboutthestructureoftheboard:
Howistheboardstructured?
Aretheredescriptionsoftheresponsibilitiesoftheboardasawholeandofindividualboard
directors?
Aretheredescriptionsofboardcommitteefunctionsandresponsibilities?
Whoaretheotherboarddirectors?
Isthereasystemofchecksandbalancestopreventconflictsofinterestbetweenboard
directorsandthecharterschool?
Doesthecharterschoolboardhavedirectorsandofficersliabilitycoverage?

Questionsaboutindividualboarddirectors'responsibilities:
Whatarethewaysthatboarddirectorsareexpectedtocontribute/serve?
Howmuchofmytimewillberequiredformeetingsandspecialevents?
Howarecommitteeassignmentsmade?
Source:WebsiteofNationalCenterforNonprofitBoards.www.ncnb.org.

14

73

Doestheorganizationprovideopportunitiesforboarddevelopmentandeducation?
Whatistheboard'sroleinfundraising?
WillIbeexpectedtomakeaspecificannualfinancialcontribution?
Whatrole,ifany,willIplayinsolicitingdonors?

Askquestionsabouttheboard'srelationshiptothestaff:
Istheboardsatisfiedwiththeperformanceofthecharterschooladministrator?
Howdoboarddirectorsandstafftypicallyinteractwitheachother?

TheBoardDirectorM anual

Thewrittenboarddirectormanualisanindispensabletoolintheorientationandtrainingofboard
directorsbothcurrentandnew.Theboardmanualisneverasubstituteforfacetofaceinteraction,
butwithoutit,effectiveorientationandtrainingismademuchmoredifficult.Theboardmanualwillbea
referenceusedinnewboarddirectororientationaswellasongoingboardtrainingandeducation.Italso
helpstoensureefficientorganizationandaccesstothesematerials.

Contentsofboardmanualsmaydiffersomewhatamongcharterschoolsbutgenerallythecomponents
ofaboardmanualwillincludeinformationaboutthefollowing:

Thechartercontract.

Otherlegaldocumentssuchasarticlesofincorporation,bylaws,etc.

Charterschoolmission,visionandstrategicplan.

Theeducationalplanofthecharterschoolincludingeducationalphilosophy,learningoutcomes
forstudents,curriculum,instructionalstrategies,assessmentmethods,etc.

Boardstructureandoperationsincludingpolicies,descriptionofboarddirectors'
responsibilities,overallcommitteestructureandresponsibilitydescriptionsforeachcommittee,
decisionmakingmethods,organizationalchart,listofcurrentboarddirectors,titles,andall
affiliations.

Staffingstructure,jobdescriptionofcharterschooladministrator,administratorperformance
reviewprocedures.

Financesincludingthecharterschoolsfinancialhistory,currentfinancialconditionand
longrangefinancialplans,previousyearsauditandbudget,thecurrentannualbudget,the
schoolsinvestmentandbankingproceduresandotherrelevantfinancialinformation.

Samplenewsletters,brochures,orotherpublicationsNewspaperormagazinearticlesaboutthe
charterschool

74


Itisadvisabletoprovidethemanualinathreeringbinderformatsothatboarddirectorscanorganize
newmaterialsandpapersthey'llreceivewhileservingontheboard.Thethreeringbinderformatalso
makesiteasierforboarddirectorstoupdatetheirmanualwithrevisionsofdocuments.Somecharter
schoolsalsohavemuchofthisinformationavailableontheschoolwebsite.

AsampletableofcontentsforaboardmanualisincludedintheToolsSectionofthischapter.

StrategiesforBoardOrientation

15
Intheirbook,
ImprovingThePerformanceOfGoverningBoards ,Chait,HollandandTaylorlista
numberofstrategiesforboardorientationandtraining.Thesestrategiesandothersaredescribed
below:

Newboarddirectororientationprogram
.Firstofall,theauthorssuggestthedevelopmentof
acorecurriculumfortheboardorientationprogram.Thiscurriculumwouldaddressthebasic
knowledgethateveryboarddirectorneedsincludingthemissionandhistoryofthecharter
school,uniquecharacteristics,informationabouttheexternalenvironmentthecharterschool
operateswithin(informationaboutpolitical,economic,demographic,legislative,technological,
competitivetrendsandchangesthathavesignificantimpactonthecharterschoolandthe
childrenitserves),financialinformation,detailedinformationabouttheeducationalprogram,and
more.Chait,HollandandTaylormakethepointthatmanyorientationprogramsspendtoo
muchtimeona"detailedreviewoftheboard'sbylaws,anextensivetourofthephysicalplant,
oralengthyelaborationoftheorganizationalchart"anddon'tspendenoughtimeproviding
informationthatwillhelpboarddirectorsaddressthemajordecisionsandpolicyquestions
facingthecharterschool.

Usuallytheorientationisprovidedfacetoface,sometimeswithindividualboarddirectorsand
frequentlyinsmallgroups.Increasinglypartsoftheorientationprogramwillbeprovidedinthe
formofaudioandvideotapes,aswellasonthecharterschoolWebsiteandthroughother
electronicmeans.AsmoreandmorepeoplegainaccesstotheInternet,thiswillrepresenta
powerfultoolfortrainingandorientingmembersofthecharterschoolboard.

Ongoingboardeducationandtraining.
Inadditiontotheinitialorientationfornewboard
directors,therealsoneedstobeaprogramofongoingboardeducationtraining.Onceagain,
oneofthemosteffectivewaystodeterminecontentistoaskboarddirectors,perhapsaspart
ofanannualassessment,whattheyneedtoknowinordertobeamoreeffectivememberofthe
15

Chait,Richard,Holland,Thomas,andTaylor,Barbara,
ImprovingThePerformanceOfGoverningBoards
,American
CouncilonEducation,OryxPress,1996.

75


board.Thereshouldalsobeenefforttolinkboardeducationtrainingtothecriticalstrategic
issuesfacingthecharterschool.IntheToolsSectionofChapter5,TheRoleoftheBoardin
StrategicPlanning,thereisaworksheettoboardcanusetoidentifythecriticalstrategicissues
thatrequiretheboardspriorityattentionandwhatinformationboarddirectorsfeeltheyneedin
ordertoeffectivelyaddressthoseissues.Aftertrainingprioritieshavebeendetermined,the
strategiesofferedbyChaitetalcanmeettheboard'sneedsforongoingeducationandtraining:

Incorporatetrainingintoeachboardmeeting.
Anothereffectivestrategyistoprovide
sometrainingtoboarddirectorsduringtheregularlyscheduledboardmeetings.Thiscanbean
opportunitytopresentnewinformationthattheboardwillneedtoaddressanemergingissuein
thecomingyear.Sometimesitcantaketheformofabriefpresentationbyanoutsideresource
person.Itcanalsobeanopportunitytodiscussanarticleontopicofinteresttotheboardthat
waspreviouslydistributedfortheirreview.Whentrainingisprovidedinthismanner,it's
importantthatitbeshort,focusedandwellprepared.

Miniseminars.
Shortpresentationanddiscussionsessionsorganizedaroundaspecialtopicof
interesttothecharterschoolboard.SomeofthetopicscancomefromtheForemostCritical
IssuesWorksheetmentionedinthepreviousparagraph.Thesesessionscanbescheduledas
partoftheregularschoolboardmeetingsortheycanbeheldatothertimes.

Studygroups.
Studygroupscanconsistofasmallnumberofboarddirectorssometimes
involvingstaffandoutsideexperts.Theirtaskistobecomewellinformedaparticularsubject
areaorissueandthensurethatknowledgewiththeboardisawhole.

Committeerotation.
Anothereffectivewayofprovidingeducationandtrainingtoboard
directorsisbygivingthemanopportunitytoserveonadifferentcommittee.Thisservesthe
dualfunctionofprovidinganopportunityfornewlearningandbybringingafreshperspectiveto
theworkofeachcommittee.

Publicationsandconferences.
Anothereffectivestrategyformeetingtheeducationtraining
needsofboarddirectorsofthecharterschoolistoprovideaccesstobooks,articlesand
magazinesonrelevanttopics.Theresourcechapterinthisguidebookincludesinformationon
someofthebestpublicationsavailablefromorganizationssuchastheNationalAssociationof
IndependentSchools,theAssociationofGoverningBoards,theNationalAssociationofSchool
Boards,theLearningInstituteforNonprofitOrganizations,theCharterSchoolsDevelopment
Center(CA),theNationalCenterforNonprofitBoards,andothers.Inadditiontoprinted
materials,allofthesegroupshaveexcellentWebsites,audioandvideotapes,CDROM
programs,andotherresources.Alltheseorganizationsalsoofferanumberofexcellenttraining
conferences.Acrossthecountry,statewidecharterschoolresourcecentersaswellasuniversity
basedschoolreformtechnicalassistancecentersarealsosourceofexcellenttraining.Check
theWebsiteoftheCharterFriendsNationalNetworkforinformationaboutstateandnational
contacts.

Peereducation.
Anotherexcellentwayforboarddirectorstolearnisbysharingstorieswith
eachother.Thiscanbedoneinformallyovercoffeeormeals.Itcantakeplaceduring
76


conferencesandmeetingsandprovideanopportunitytocomparenoteswithboarddirectorsof
othercharterschools.

Directcommunicationwiththecharterschoolskeyconstituentsstudentsand
families
.Chait,etalpointoutthatinthepast,facetofacecommunicationwithconstituents
wasviewedasinappropriateforboarddirectors.Thefearwasthatsuchdirectconversation
mightlapseintomicromanagingandmeddling,resultinginconfusionaboutthedistinctions
betweengovernanceandmanagement.Ifproperlystructuredthebenefitsofsuchcontactsfar
outweighthepotentialdrawbacks.Especiallyforcharterschoolboarddirectorsthathavebeen
recruitedfromtheoutsidecommunity,anopportunitytospeakwithparentsandstudents,for
example,canincreasetheirunderstandingoftheissuesfacingthecharterschoolandcanalso
deepentheircommitmenttoboard.

InvolvementofPastandCurrentBoardDirectorsinOrientation
andTraining

Nomatterwhatorientationandtrainingformatsyouemploy,considerutilizingpastandcurrentboard
16
directorsastrainingresources.Herearesomesuggestionsforinvolvingthem :

Orientationtraining.
Pastandcurrentboarddirectorsbringexperiencethatwillhelpthenewboard
directorlearnfaster.Bringpastandcurrentboarddirectorsintopresentpartoftheorientation,or
havethecurrentandnewmembersgettogetherwithyoutotalkabouttheirresponsibilitiesand
commitmentstotheboard.Makesureyouprepareboarddirectorsonthetopicsthey'llcover,so
consistentandaccurateinformationisgiventothenewcomers.

Mentoring.
Mentoringisakeyelementinorientation.Matchupaskilled,reliableboarddirector
withanewone.Thenthecurrentmembercanshowthenewcomertheropesofyourboard
proceduresandbeavailabletoanswerbasicquestions.

Orientationretreat.
Letboardveteransandnewmemberscometogetheratanannualorientation
retreat.Theorientationretreatservesasagoodrefresherforcurrentboarddirectorsaboutyour
charterschoolsmission,educationalprogramsandservices,charterobligations,longrangeplanand
operations.Plus,allboarddirectorsnewandcurrentalikewillgettoknoweachotherbetterand
feelmorecomfortablewhentheyattendthefirstboardregularmeeting.

ALastBitofAdvice

Don'ttakeforgrantedtheboarddirectors,evenexperiencedones,areworkingunderthesame
assumptionsabouttherolesandresponsibilitiesoftheboardandshareyourphilosophyofgovernance.
Itwillbethecasethatsomemembersofthecharterschoolboardhaveservedonseveralotherboards.
Theybringdifferingopinionsaboutwhattheboardshouldorshouldnotdo.Theymayhaveadifferent
viewaboutthedistinctionbetweenmanagementandgovernance.(Somemightnotseeadistinctionat
AspenPublishers,
BoardMemberOrientation
,1995.

16

77


all).Thereforethecharterschoolboardmustdevelopclearwrittenpoliciesregardinghowitdoesits
governingtasks.Thecharterschooladministratorcanplayaroleinhelpingtheboardreachand
maintainconsensusonarangeofstructuralandrolesissuesrelatedtoboardgovernance.These
consensuspositionsmustbeacentralpartofacompleteboardorientationprogram.Andremember,
orientationfornewboarddirectorsisonlythefirststepinabroaderboardtrainingprogramthatmust
beongoing.

Chapter3:ToolsYouCanUse
SamplesOfFoundationDocuments
SampleBoardofDirectorsHandbookTableofContents[Source:IndependentSchools
AssociationoftheCentralStates(ISACS)]
SampleBoardDirectorOrientationOutline(Source:UnitedWayofMinneapolisAreaThe
ManagementAssistanceProgramforNonprofitsandCarterMcNamara,PhD)
ParliamentaryProcedureOverview

EssentialResourcesforBoardOrientationandTraining
BoardMemberOrientation
.PublishedbyAspenPublishers,Inc.Thispublicationincludesa
numberofsampleformsanddocumentsusefulineverystepoftheboardorientationprocess.
Asanaddedfeature,alloftheformsandworksheetsinthemanualareavailableonaMacintosh
andIBMcompatiblediskette.
HowDoWeKeepBoardMembersInformed
?
NationalCenterforNonprofitBoards.
FrequentlyAskedQuestions.Goto:www.ncnb.org

78

SampleBoardofDirectorsHandbook
[Source:IndependentSchoolsAssociationoftheCentralStates(ISACS)]

ISACSrecommendsthatanyorallofthefollowingitemsbeincludedinatrustee
handbookforthebenefit,erudition,andenlightenmentofone'strustees:

1. SchoolMissionStatement
2. BriefHistoryoftheSchool
3. Directories:TrusteeFacultyParent/Student
4. BoardCommittees:Structure,Charges,Assignments
5. Calendars:SchoolYearBoardandCommitteeMeetings
6. Budget/Audit
7. EndowmentReport
8. StrategicPlan
9. NAIS"PrinciplesofGoodPractice"(EspeciallythoseonBoard,Trustees,
Head,Admissions,Hiring,Fundraising)
10.Bylaws
11.AdmissionsCatalog&ApplicationPackage
12.SchoolPlacementProfile
13.SchoolStatistics(e.g.,ItemsreportedinannualISACSreport)
14.CopyofNAIS'TrusteesHandbookandtheISACSPrimerforTrustees
15.Minutes(fromthelastyear)
16.BoardPolicies:Endowment(Investment&SpendingPolicies)Conflictof
InterestContagiousDiseases(AIDS)SexualHarassmentAdmissions
FinancialAidStaffing&PersonnelBoardResolutionsetc.
17.Handbooks:Employee&Parent/Student
18.BoardOrientationProceduresandSchedule

ISACSwouldaddthattheNAISHandbookforTrusteesandtheISACSPrimerfor
Trusteesshouldbecomeafocuspointfororientationofnewtrustees,aprocess
thatshouldincludeatouroftheschool,meetingwiththeheadanddevelopment
officer,andluncheonwiththemembersoftheBoard'sCommitteeonTrustees(i.e.,
Directorship/NominatingCommittee).Thetrusteeshandbookisonearrowinthe
quiveroftrusteeeducation,vitaltokeepingeveryoneontarget.
Author:PatrickF.Bassett,ExecutiveDirector,IndependentSchoolsAssociationoftheCentralStates

79

SampleBoardDirectorOrientationOutline

MeetingFormat
Newdirectorsneedtofeelliketheyreanintegralpartoftheboardassoonaspossible.Iftheydont
feelcomfortablevoicingtheiropinions,yourealllosingvaluableinput!Informationiswhatwillhelp
everybodyfeelatease.Nomatterhowwellqualifiedyournewboarddirectorsare,itwilltakesome
timetogetthemuptospeedandfeelingcomfortableasmembersofyourteam.Buttherearestepsyou
cantaketohurrythisprocessalong.Conductanorientationsessionforallnewboarddirectors.Have
themmeetwithstaffandexecutiveofficers.Spendtimegoingoverbackgroundmaterialaboutthe
organizationandbringthemuptodateontheissuesfacingtheboard.Allowplentyoftimefor
questionsandanswers.Trytocoverthesetopicsinanewboarddirectorbriefing:

IntroduceEveryone
ElectedChair
ExecutiveOfficers
CommitteeChairsandMembers
OtherBoarddirectors
Staff
GuestsandOthers

DescribetheCharterSchool(Mission!)
Whoweserve
Whatwedo
Overviewofeducationalprogram
Other

ExplainandDiscuss
Meetingattendancerequirementsbothfullboardandcommittee
Committeeassignmentsandcharges
Boardroleandrelationtoadministrator/staff
Other
Conductschooltour
Administrativeofficesandboardroom

ProvideDocumentsOrganizedinaManual
Missionstatement
Bylaws
Policymanual
Minutesofboardmeetingsforthepastyear
Annualreport
Auditreport
Currentbudget
Currentfinancialreport
Strategicplan
80

Goalsfortheyear
Rostersboarddirectorsincludingaddressesandtelephonenumbers
Listofboardofficers
Listofcommitteemembershipsincludingchairs
Annualcalendarofactivitiesandmeetings
Copiesofthenewsletterfortheyear
Other

CollectDataattheMeeting
Addresses
Telephonehomeandoffice
Faxnumber
Emailaddress
Besttimetocontact
Besttimeformeetings
Other

Thesearewaystogetboarddirectorscomfortablewithboardresponsibilitiesandmeetingparticipation.
Notonlydothenewdirectorsstartcontributingrightwayduringthemeetings,theyalsodevelopagood
workingrelationshipwiththeveteranboarddirectors.Planthismeetingwithinthefirstmonthoftheterm
ofoffice.Waitinguntilthefirstorsecondquarterwillonlydelayyourboardseffectiveness.

Source:
UnitedWayofMinneapolisArea
TheManagementAssistanceProgramforNonprofits
2233UniversityAvenueWest,Suite360
St.Paul,Minnesota55114
(612)6471216
andCarterMcNamara,PhD

81

ParliamentaryProcedureOverview

Usethisasaquickreferencetoolwhenyouneedtorefreshyourparliamentaryprocedureknowledge.

Todothis:
Saythis:
Interrupt Second
Ismotion Ismotion Whatvote
speaker? required? debatable? amendable? isrequired?

Adjournmeeting
Imove
No
Yes
No
No
Majority
beforebusiness
thatwe
iscompletedadjourn.

Recessthe
Imovethat
No
Yes
No
Yes
M
ajority
meeting
werecessuntil

Suspendfurther
Imovewe
No
Yes
No
No
M
ajority
considerationof
tableit.
anissue

Enddebate
Imovethe
No
Yes
Yes
Yes
Twothirds
previous
question.

StudyanissueImovewe
No
Yes
Yes
Yes
Majority
further
referthismatter
toacommittee.

Introducebusiness
Imovethat
No
Yes
Yes
Yes
Majority
(primarymotion)

Amendamotion
Imovethat
No
Yes
Yes
Yes
Majority
thismotionbe
amendedby

Objecttoprocedure
Pointoforder. Yes
No
No
No
Novote,
orapersonalaffront
chairdecides

Takeupapreviously
Imovewetake No
Yes
No
No
Majority
tabledmatterfromthetable

Consideran
Imovewe
No
Yes
No
No
Twothirds
issueoutofitssuspendtherules
scheduledorder
andconsider

82

Chapter4:BoardDecisionMakingAndMeetings

CriticalBoardBuildingChallenge:HowdoestheCharterSchoolBoardmakeeffective
decisions?

BasicAssumptions

Themodelofcharterschoolboarddecisionmakingdescribedinthissectionoftheguidebookisbuilt
onthefollowingassumptionsandbeliefs:

Thebuckstopswiththeboard.
Thefirstassumption,simplyput,isthatthebuckstopswiththe
charterschoolboard.Astheboardofanindependentpublicschool,inmanycasesalsoa
separatelyincorporatednonprofitorganization,thecharterschoolboardisthesourceofallauthority
muchofitdelegatedtoothersandhastheultimateresponsibilityasaresult.

Distinctionbetweengovernanceandmanagement.
Thedecisionmakingmodelalsoreflectsa
cleardistinctionbetweengovernancedecisionmakingandmanagementdecisionmaking.The
boardofdirectorsfocusesonmattersofgovernanceanddelegatesadministrationandmanagement
tothecharterschooladministrator,whointurndelegatestootherstaff.

Distinctionbetweenendsandmeanstheboardfocusesontheends.
Thedistinction
betweengovernanceandmanagementisfurtherdevelopedbymakingadistinctionbetweenends
andmeans.AsdescribedinChapter1,endspoliciesanddecisionshavetodowiththreethings:
thecharterschoolsresultsoroutcomes,therecipientsofthoseresultsthechildrenattendingthe
charterschool,andthecoststoachievethoseresults.Meansreferschieflytothemeansusedby
thecharterschoolstaff,withleadershipoftheadministrator,toachievetheendsdeterminedbythe
board.

Theboardspeakswithonevoiceornotatall.
Boarddecisionmakingisalwaysdonewithin
meetingsoftheboard.AccordingtoJohnCarverandothers,theboardexercisesitsauthorityonly
whenitactscollectivelyastheboard.Individualboarddirectorscannotmakeboarddecisions
actingaloneorinasmallgroup.Certainly,individualboarddirectorscanbedelegatedauthorityto
actontheboardsbehalf.Thisisdifferentfromunilateral,unauthorizedactionbyaboarddirector
actingalone.

Theboardhaslimitedtimeinwhichtomakeitsmajordecisions.
Themodelofboard
decisionmakingdescribedherereflectstheviewthatthecharterschoolboardmajordecisionsto
makeandalimitedamountofmeetingtimeinwhichmakethemandtocarryoutitsother
responsibilities.Thisforcestheboardtobeveryselectiveintheitemsitincludesonitsownmeeting
agendas.
83

Theboardisnotasubstituteforeverythingelse.
Theboardistheplacewheregovernance
decisionsaremade.Otherdecisionsandactionstakeplaceelsewhere.Inawellorganized
charterschool,therewillbeotherstructures,systemsandprocedurestoprovide
opportunitiesforstaff,parents,students,andothercommunitymemberstoprovideinput,
makedecisions,andtakeaction.Someofthesestructureswillbelinkedtogoverning
boarddecisionmaking.Agoodexampleisthestrategicplanningprocess.Whilethefinal
decisiontoformallyadoptthestrategicplanismadebytheboard,thestrategicplanning
processmustincludeextensiveinvolvementofallconstituenciesofthecharterschool.At
thesametime,parentinputindecisionmakingwilloccuratalllevelsofthecharterschool.
Forexample,theY.W.C.A.GlobalCareerAcademyCharterSchoolinMilwaukee,has
designed12mechanismsforparentinvolvementanddecisionmaking.(Thisframeworkis
includedintheToolsSectionofChapter8.)Oneoftheseparticipationmechanismsis
directparentrepresentationonthecharterschoolboard.Mostoftheotherparent
involvementoccursonanongoingbasisandisnotdirectlyconnectedtothe
decisionmakingthatoccursattheboardlevel.Theintent,however,istomakethevoice
ofthecustomersopervasivethatitimpactsallcharterschooldecisionmaking.

Clarityaboutrolesandresponsibilitiesbetweentheboardandadministrator.
Finallythe
decisionmakingmodelreflectsclarityandagreementaboutrolesandresponsibilitiesoftheboard
andthecharterschooladministrator.ThisthemewillbemorefullydevelopedinChapter7which
addressesboardstaffrelations.

BoardDecisionMakingModel
CharterSchoolBoardGovernanceFrameworkChart

ItishelpfultoreferbacktotheCharterSchoolGovernanceFrameworkChartintheToolsSectionof
Chapter1.ThedecisionmakingmodelreflectsJohnCarversdistinctionbetweenendsandmeans.
Inthisview,thecharterschoolboardplacesprimaryfocusonendsmission,vision,keyresultstobe
achievedbythecharterschool.Theboardwillalsoplacepriorityonmajoractionsanddecisionsthat
supporttheendssuchasmonitoringschoolprogresstowardmeetingthestudentachievementand
otherobjectivesagreedtointhechartercontract,budgetapproval,schoolwidepolicies,strategic
planning,andcharterschooladministratorperformancereview.

Oneofthereasonsthisends/meansdistinctionishelpfulisbecauseofthelimitedamountofformal
meetingtimeisusuallyavailableforboarddecisionmaking.Aswaspointedoutearlier,aboardthat
meetsmonthlyfortwohourshasonly24hoursinwhichtomakeanumberofmajordecisions
and
still
havetimetoaddressotherunforeseenmajorissuesandchallenges.

AsconveyedinthegovernanceframeworkchartintheToolsSectionofChapter1,thesebroader
governancedecisionscreatethespaceorplayingfieldforboardcommittees,charterschoolstaffledby
theadministrator,andnonboardvolunteerstoplanandimplementactionsintheirrespectiveareasof
84


responsibility.Peoplehaveautonomywithintheboundariescreatedbyboarddecisionmakinginthe
majorareasnotedabove.Theboarddoesnotmicromanageormeddleindecisionmakingthatisbest
donebythoseresponsibleforthedevelopmentanddeliveryofeducationalprogramsandsupport
services.Wheneverpossible,theboardwilleffectivelydelegateimplementationresponsibilitywithclear
instructionsand/orsuggestionstoitsowncommitteesandthecharterschooladministrator,sothatthe
boardasawholecancontinuetomaintainafocusonareasofmajorpolicyanddecisionmaking.

ElementsOfEffectiveDecisionM aking

17
EugeneSmoley,authorof
EffectiveSchoolBoards
, identifiesfourelementsofeffectiveschoolboard
decisionmaking:

Theboardaccessesandusesrelevantinformation.
Relevantinformationcomesfrommany
sources,includingdistrictstaffandcommunityitisfocusedonseveralboardconcerns:resolving
immediatecrisesandstrengtheninglongertermeducationalresultsitisaccurate,balancedand
presentedasanefficientguideforaction.

Theboarddiscussesissuesdeliberately.
Deliberatediscussionsleadingtoboarddecisionsare
systematic,objectiveandopenboarddirectorsframeissues,considerinformationincontext,and
givethetimenecessarytoavoidforcingdecisionsprematurely.Theyputasidepersonaldifferences,
likehiddenagendas,andconsiderwithoutprejudicethemeritsoftheparticularsituationorissue,
andarehonestandforthrightintheirexchangeofviewpoints.

Theboardconsidersalternativeactions.
Considerationallthealternativeactionsindicatesthat
thediscussionreflectsdifferentpointsofview,hearsallsides,andassessesthepositiveandnegative
consequencesofvariouschoices.

Theboardworkstowardconsensus.
Boarddirectorstrytofindareasofcommonality,tolerate
ambiguityandrecognizetheneedforcompromiseintheimportanceofreachingagreement.When
boardsworktowardconsensus,boarddirectorstrytofindareasofcommonality,tolerate
ambiguity,andrecognizetheneedforcompromiseandtheimportanceofreachingagreement.

Smoley,Eugene,
EffectiveSchoolBoards
,JosseyBass,1999.

17

85

PolicyMaking:ACriticalAreaofBoardDecisionMaking

Policiesareanimportantsetoffarreachingdecisionsmadebythecharterschoolboard.Letsbegin
withadefinitionofpolicy.AccordingtoAndrewSwanson,authorofthe
BoardSense
newsletter,
policiesarebroadpreceptsorprinciplesdesignedtoinfluenceandcontrolfuturedecisions,directions
andactionsoftheboard.Boardsfocusonbroadorganizationalpoliciesandleaveoperatingpoliciesand
procedurestothecharterschooladministration.Throughpolicymaking,theboardisabletodelegate
authorityandstillretainultimateresponsibilityandcontrol.Policiesalsoprovideaframeworkinwhich
otherdecisionscanbemadeandtheworkoftheboardandstaffcarriedout.Policiesassure
consistencyofactionsespeciallyindifficultandstressfulsituations.Policiesalsominimize
redeliberationonmattersthattheboardhaspreviouslydecided.Finally,policiesdefinethewaysthe
18
schoolwishestoworkandtheboardwishestogovern.

TheWashingtonStateSchoolDirectors'Associationnotesthateffectiveboardpolicieshavethe
followingcharacteristics:

Reflectiveoftheeducationalgoalsofthecharterschool
Writtenwithinthescopeoftheschoolboardsauthority
Adoptedthroughproperboardprocedure
Respectfuloflegalandconstitutionalrightsandrequirementsand
Communicatedtothepersonswithinthecharterschoolcommunityitwillaffect.

19
Thereisahierarchyoflegalauthoritywithinwhichboardpoliciesfit. Thishierarchycanbedescribed
inthefollowingway:

1. Applicablefederalandstatelaws,includingInternalRevenueServiceregulations.
2. Charterschoolcontractwiththeauthorizedcharteringbody.
3. Articlesofincorporationforthecharterschool.
4. Bylawsofthecharterschool.
5. Standingpoliciesoftheboardofthecharterschool.
6. Otheronetime,shorttermpoliciesfoundinthecharterschoolboardminutes.
7. Personnelpoliciesandprocedures.
8. Administrativedecisionsmadebystaffbasedon,and/orconsistentwith,theabove.

Noactionorpolicydecisionatanyonelevelwithinthishierarchymayviolatetherulessetinthelevel
aboveit.

HowPolicyIsCreated

18

HundleyDeKuyper,Mary,
TrusteeHandbook
,NationalAssociationofIndependentSchools,1998.
Adaptedfrom:Andringa,RobertC.andEngstrom,TedW.,
TheNonprofitBoardAnswerBook
,NationalCenterfor
NonprofitBoards,1997.
19

86


20

Theboardcaneffectivelydeveloppolicybyproceedingthroughthefollowingsequence:

1. Theboardfirstidentifiesaneedfornewpolicy.
Therecognitionthatthereisinneedforanew
roleofinstitutionalpolicycancomefromanumberofsources:boardcommittees,thechairofthe
board,thecharterschooladministrator,otherstaff,parents,students,andcommunitymembers.
Someoftheconditionsthatcausethecharterschoolboardtoconsiderdevelopmentofnewpolicy
includethefollowing:

Issuesarearisingwhicharenotadequately/acceptablyaddressedbycurrentboardpolicies.
Changesinoperatingpracticehaveaccumulatedovertimesothatthecurrentpoliciesdonot
reflectreality.
Externalchangesandtrendsthathaveanimpactonthecharterschoolandthefamiliesbeing
served,forexampleworkforce,demographics,havebroughtnewissuesforward.
Thecharterschoolhaschangedinsize,scope,servicesofferedormethodsofdeliveryof
services.
Recentfederalorstatelawshavecreatedtheneedforadjustmentsinpolicy,e.g.,wageand
hourlaws,equalemployment,safety,provisionsoftheapplicablestatecharterschool
legislation,etc.
Currentpolicydoesnotadequatelyreduceambiguityandinsureuniformityofdecisionsacross
thecharterschool.

Whensuchnewissuesandquestionsarise,thefirstquestionfortheboardtoaskisWhatdo
ourcurrentpoliciessay?Ifthelanguageofthecurrentpoliciesdonotprovideguidance,thenext
questionis,Whatpolicyshouldweadopttocoverthisandsimilarsituationsinthefuture?

2. Theboardthenassignsateamtodraftnewpolicy
.Afterithasbeendeterminedthatanew
policyisneeded,oftenitisthecharterschooladministratorwhoisinthebestpositiontodraft
policiesforboardreviewbecauseheorsheisthinkingabouttheschooleverydayandisfrequently
mostawareofwhatsneeded.However,sincesettingboardpolicyisultimatelytheboards
responsibility,aboardstaffteamoftwocanalsobeeffective.Ineithercase,theboardneedsto
clearlycommunicateitsconcernsandanypreferencesregardinghownewpolicywillbeapproached
totheteamthatwillwritethepolicydraft.

3. Writeafirstpolicydraft.
Thewritingteamthendevelopsawrittenpolicystatementthatresponds
totheissueorquestionathand.Insomecases,theteamcanusepoliciesthathavebeendraftedby
othercharterschools.SamplesofcommonpoliciesareincludedinthischaptersToolsSection.
JohnCarver,authorofBoardsThatMakeaDifference,encouragesboardstostartwithbroad
statementsandbecomemorespecificonlyifitwillimprovethepolicy.Hisguidancecomesinthe
followingwords:

Decidethelargestissueinagivencategorybeforesmallerissuesinthatsamecategory.

20

Adaptedfrom:Andringa,RobertC.andEngstrom,TedW.,
TheNonprofitBoardAnswerBook
,NationalCenterfor
NonprofitBoards,1997.

87

Stopatthelevelwhereyoucanacceptanyreasonableinterpretationofthedecisionjust
21
made.

Itmustbeunderstoodthatifthepoliciesbecometoodetailed,itisalmostcertainthattheboardhas
movedbeyondpolicymakingandhasbeguntoinvadestaffadministrativeprerogatives.Theboard
shouldkeepitspoliciesatthebroadgovernancelevel,maintainingthedistinctionbetweenEnds
andMeanspresentedinChapter1.

4. Asklegalcounseltoreviewthedraftpolicy.
Insomecases,dependingonthenatureofpolicy
questions,oncethedraftingofpolicybegins,itmaybeimportanttobringthecharterschool'slegal
counselintothepicturetoreviewthepolicydraft.Theattorney,whoshouldbefamiliarwith
applicablecharterschoollawandregulations,shouldnotwritepolicybutheorshewillcertainly
havemanyhelpfulsuggestionsincludinghownewpoliciesshouldbeadoptedinsuchawaythatany
previous,relatedpoliciescanthenbecontinued.Bynomeans,however,isalegalreviewrequired
ofeachandeverypolicydraftunderconsiderationbythecharterschoolboard.

5. Presentdraftpolicytotheboardforapproval.
Oncethedraftingchainhasthepolicydraft
readyforboardapproval,itisadvisabletohaveafirstreadingataboardmeetingtogivethewriting
teaminformalfeedback.Thewritingteamcanthenincorporateanysuggestionsandsendscratch
thatandbringthefinalpolicydrafttothenextboardmeetingwhentheboardcanformallyadopted.

6. Continuetoreviewandreviseboardpolicies.
Periodically,theboardshouldreviewitspolicies
tomakesurethey'restillrelevantandincompliancewithapplicablelawsandregulations.

Fornewcharterschools,itisadvisabletodevelopasetofbasicpoliciesatthesametime.Thepolicy
checklistfromtheNationalAssociationofIndependentSchoolsincludedintheToolsSectionofthis
chaptercanbearesource.AlsoconsidersomeofthesamplepoliciesincludedintheToolsSection.
Thesamestepsdescribedabovecanbeusedtodevelopthisinitialsetofbasicpolicies.

BoardPolicyM anual

Asdescribedabove,policiesconstitutesomeofthemostimportantdecisionsthatthecharterschool
boardwillmake.Theboardisliableforitsownpoliciesinacourtoflaw.Staffmembersneedtobe
clearexactlywhattheyresupposedimplement.Andboarddirectorsshouldnothavetoreinventsimilar
policiesoverandoveragain.Therefore,boardpoliciesshouldbekeptorganizedandaccessible.For
thisreason,itisadvisabletohaveawrittenboardpolicymanualinwhichallthepoliciestheboard
adoptsaremaintained.

Thisboardpolicymanualisausefultoolthathelpstheboardspeakwithonevoiceoncriticalmatters,
guidingitandstaffuntiltheboardchoosestomakechanges.Assuch,thepolicymanualisessentialfor
effectiveboarddecisionmaking.
nd
Carver,John,
BoardsThatMakeaDifference,2
Ed
.,JosseyBass,1997.

21

88

ToolstoSupportEffectiveBoardDecisionmaking
DecisionM akingFlowchart

Itwillbeveryhelpfultohaveawrittendescriptionofthedecisionmakingprocesstheboardintendsto
use.IntheToolsSelectionofthischapter,thereisadecisionmakingflowchartbasedonthemodelof
boardgovernancedescribedinChapter1.Thisdecisionmakingflowchartreflectsthefollowing
fundamentals:

Issues,concernsandpolicyquestionsthatcomebeforetheboardofdirectorscanoriginate
fromstaff,individualboarddirectors,parents,studentsandthecommunityatlarge.

Anexecutivecommitteeorsimilargroupreviewssuchissues,concernsandpolicyquestionsto
determinewhetherornottheyshouldbebroughttothefullboardor,basedoncurrentboard
policies,assignedtothecharterschooladministrator,boardcommittees,oranotherbodytobe
dealtwith.Inthisway,theexecutivecommitteeattemptstodifferentiatebetweengovernance
mattersthatdeservethefullboardsattentionandmanagementmattersthatcanbedelegatedto
staff.

Itemsthatarereferredtothefullboardareeitheracteduponbytheboardordelegatedto
boardcommittees,orthecharterschooladministratorforactionorforthedevelopmentof
recommendationstotheboardforactionatafutureboardmeeting.

Thisapproachreflectsclarityaboutwhoisresponsibleforwhat.Italsoreflectsanunderstandingofthe
ends/meansdistinctiondescribedinChapter1andearlierinthischapter.Iftheboardconsistently
usesthisdecisionflowchart,overtime,itwillbecomemoreeffectiveinusingitsmeetingtimefortrue
governancedecisionmaking.

DecisionM atrix

Anotherimportanttooltosupportcharterschoolboarddecisionmakingisthedecisionmatrix.The
purposeofsuchamatrixistoclearlydefinetheauthorityanddecisionmakingrolesandresponsibilities
oftheboardinrelationtoauthorityanddecisionmakingrolesandresponsibilitiesofothergroupsand
constituencieswithinthecharterschool.Thefinalinterpretationofsuchamatrixwillrestwiththeboard
ofdirectors.Whilesuchawrittentoolwillnotcompletelyclearupoccasionalconfusionandlackof
agreementaboutwhodecideswhat,thedecisionmatrixwillpreventmanyproblemsthatfrequently
plaguedcharterschoolsfromdeveloping.Thematrixwillsavetime,increasetheimpactofpeoples
effortsandhelptobuildstrongerrelationshipsamongtheboard,staff,parents,students,andotherkey
constituencies.

89


OneofthefinestexamplesofsuchamatrixhasbeendevelopedbytheWashingtonCoreKnowledge
School,locatedinColorado.TheschoolsdecisionmakingmatrixisincludedintheToolsSectionof
thischapter.Thematrixidentifiesdecisionsneedingtobemadeinanumberofbroadcategoriessuchas:
schoolgoals,curriculumandinstruction,personnel,staffdevelopment,communication,budget,
assessmentandevaluation,recordkeeping,andschoolculture.Foreachofthesedecisioncategories,
thematrixthenspecifies:

Thedecisiontobemade
Whoshoulddecide(whichpersonorgrouphasthefinalsayinadecisionarea)
Whoshouldrecommend(whichpersonorgroupwillberesponsibleforrecommendinga
solution)
Whoshouldbesolicitedforinput(whichpersonorgroupwillbecontactedinordertoobtainan
opinionorinformationpriortothedecisionbeingmade.Inputswouldbewelcomedfrom
anybody,butsomeneedtohavetheirinputsolicited.)
Whowillbeinformed(whichpersonorgroupwillbeinformedofthedecisiononceitismade.
Thedecisionmakerisresponsibleforinformingthoseindividualsorgroups.)
Whichdecisionmakingprocesswillbefollowed(themodelidentifiesfivepossible
decisionmakingprocessesthatcanbeuseddependingonthenatureofthedecision.)

Takentogether,theelementsincludedinthisdecisionmakingmatrix,compriseasystemfor
decisionmakingthatreflectstheneedtoclearlydefinewhodoeswhat,reservingultimateauthorityfor
theboard,orasitiscalledintheWashingtonCoreKnowledgeSchoolsample,theSiteBased
ManagementCouncil.Atthesametime,useofsuchadecisionmakingmatrixwillcreatemany
opportunitiesforinput,influenceanddecisionmakingthroughoutthecharterschool.

Tosummarize,thebenefitsofsuchamatrixinclude:

Clearupanyconfusionabout"whodoeswhat."
Ensurethatforeachtask,thereisaresponsibleparty.
Communicate"whodoeswhat"soparentsorotherstaffpeopleareimmediatelyreferredtothe
correctparty.
Facilitateadditionalcommunicationbyhelpingpeoplewhoneedtoworktogethertogetto
knoweachother.
Preventduplicationofeffort.

Aswithmanyofthetoolsincludedinthisgovernanceguidebook,theWashingtonCoreKnowledge
Schooldecisionmakingmatrixshouldbereviewedandrevisedsoastomeetthespecificneedsand
requirementsofyourcharterschool.

TheRoleOfTheExecutiveCommitteeInFacilitatingEffective
BoardDecisionM aking

90


Anothercriticalelementineffectivedecisionmakingisafunctioningexecutivecommittee.Board
committeeswillbegivenfullertreatmentinChapter10.(AsampleExecutiveCommitteejobdescription
isincludedintheToolsSectionofthatchapteraswell.)However,ourdiscussionofboard
decisionmakingwillnotbecompletewithanexplanationoftheExecutiveCommitteeatthispoint.

Inacharterschoolboard,asinmostotherorganizations,theExecutiveCommitteetypicallyconsistsof
thefourexecutiveofficersoftheboard:thepresident,vicepresident,secretary,andtreasurer.
Sometimesothermembersoftheboardareincludedaspartoftheexecutivecommittee:forexample,
chairsofkeystandingcommitteesoratlargemembersfromtheboardtoassurerepresentationof
diverseviewpoints.

Theexecutivecommitteefacilitateseffectivedecisionmakingbythefullboardbyplayingthefollowing
threecriticalroles:

Planningtheagendaofboardmeetings.
ItistheresponsibilityoftheExecutiveCommitteeto
meetregularlywiththeCharterSchoolAdministratorinadvanceofboardmeetingstodevelopthe
boardmeetingagenda.Frequently,developmentoftheboardmeetingagendaisleftuptothe
charterschooladministrator.Certainly,theadministratorneedstobeinvolvedbutdevelopingthe
boardmeetingagendaistheresponsibilityoftheboardleadership.Asampleboardmeetingagenda
isincludedintheToolsSectionofthisChapter.

Makingdecisionsonbehalfofthefullboard.
Betweentheregularmeetingsoftheboardthe
executivecommitteecanmakedecisionsthatcan'twaitforthenextregularboardmeetingoron
mattersthatthefullboardhasdelegatedauthoritytotheexecutivecommittee.Inbothcases,the
executivecommitteereceivesitsauthorityfromthefullboardandneedstoreportonits
decisionmakingatthesubsequentmeetingoftheboard.

Servingasacommunicationlinkwithothermembersoftheboard,especiallythe
committeechairs.
Inordertobeeffectivedecisionmakers,theboardmustfostercommunication
amongitsmembersinbetweenregularmeetings.Theexecutivecommitteeplaysavitalroletoinsure
thatthishappensutilizingtelephone,fax,emailandfacetofacemeetings.

Tofacilitateitswork,theexecutivecommitteeshouldmeetonaregularbasis.Forexample,iftheboard
holdsitsregularmeetingsonamonthlybasis,theexecutivecommitteemightalsomeetmonthlyin
betweentheregularboardmeetings.Theboardchairandthecharterschooladministratorshould
developanagendafortheexecutivecommitteeinadvanceofitsmeetings.Tosavetime,theseagenda
preplanningmeetingscanoftenbedonebyphoneand/oremail.

Whentheexecutivedirectorandboardpresidentmeet,theyshouldbeginbyidentifyingagendaitemsto
behandledbytheexecutivecommittee.Theseitemsareplacedontheexecutivecommittee'smeeting
agendaasactionitems.Inplacingsuchitemsinthiscategory,boardpresidentandexecutivedirector
areassuming,basedonpastpracticeaswellasrelevantbylawlanguageandboardpolicy,thatsuch
itemsareappropriateforexecutivecommitteedecisionmaking.Thenextagendacategoryincludes
thoseitemsthatwouldbeappropriateforexecutivecommitteediscussionand/orreferraltothefull
boardasactionitemsorasinformationitems.Inthisinstance,theboardpresidentandexecutive
91


directoraremakingthejudgmentthattheexecutivecommitteelacksauthoritytoactdirectlyonsuch
items.Theirdiscussionofsuchitemsduringtheexecutivecommitteemeetingmayleadto
recommendationsforfutureactionbytheboardasawholebuttheexecutivecommitteewillstopshort
ofmakingadecisiononitsown.

Athirdcategoryofexecutivecommitteemeetingagendaitemsarethoseitemsthatareofferedto
executivecommitteemembersfortheirinformationonlytheydon'trequireactionbytheexecutive
committeeorbytheboardasawhole,buttheboardchairandadministratorconsiderthisinformation
importantenoughtosharewithothermembersoftheexecutivecommitteeandpossiblythefullboard.

Byworkingwithanexecutivecommitteeagendaorganizedinthismanner,theboardchair,other
membersoftheexecutivecommitteeandtheadministratorwillusetheirmeetingtimemoreeffectively
andefficiently,resultingindecisionsonmattersthatareappropriateforexecutivecommitteeaction.
Moreimportantly,theywilllaythegroundworkforeffectivedecisionmakingbytheboardasawhole
byreviewing,andifappropriate,makingrecommendationsforboardactionforitemsthatmustbe
handledbythefullboardofdirectors.Theywillalsoavoidspendingunnecessarytimeoninformation
itemsthatrequirenorealdiscussionorboarddeliberation.

Asaresultofsuchameetingprocess,theexecutivecommitteecanthenconstructanagendaforthefull
boardmeetingthatplacespriorityongovernancerelatedactionitems.Itcanbeseenthatbytakingcare
ofitsownworkinaneffectiveway,theexecutivecommitteefacilitateseffectivedecisionmakingbythe
boardasawhole.AnexecutivecommitteemeetingagendaplanningformcanbefoundintheTools
Sectionofthischapter.

Onecaveat:Sometimesorganizationsexperienceproblemswhentheexecutivecommitteeisallowedto
functionasanelitegroup,presentingalreadymadedecisionsatmeetingforthefullboardsrubber
stamp.Theseandrelatedproblemsarepreventableifthereisawrittencommitteejobdescriptionfor
theexecutivecommitteethatspellsouttheroleofthecommitteeandlimitationsonitsauthority.Thereis
asampleexecutivecommitteejobdescriptioninChapter10ofthisguidebook.

TimeM anagementofBoardM eetings

Theeffectivenessofboarddecisionmakingwillimproveifthefollowingmeetingtimemanagement
practicesareused:

Writtenboardmeetingagendawithtimeestimates
.Awrittenagendafortheboard
meetingshouldbedevelopedbytheexecutivecommitteeandcharterschooladministratorand
distributedtoboarddirectorsaweekbeforetheboardmeetingdate.Asampleagendais
includedintheToolsSectionofthischapter.Theagendashouldincludeestimatesforeach
agendaitem.

Startontime.
Iftheboardmeetingisscheduledtobeginat7p.m.,startat7sharp,notat
7:10.Someboarddirectorsmayhaveahabitofarrivinglate,andtomakememberswhoarrive
ontimewaitforthosewhodonotisbothunfairandinconsiderate.Itwillalsobuildresentment
92


overtime.Whenboarddirectorsknowthatthecharterschoolboardmeetingsstartpromptly,
theywillarriveontimemoreoften.Andthereverseisalsotruesomeboarddirectorswill
quicklygetintothehabitofarrivinglateiftheboardhasgottenintothehabitofstartinglate!Be
punctualandbeginmeetingsontime,everytime.

Endontime.
Meetingsshouldnotonlybeginontime,butendontime,too.Timelimitscreatea
senseofurgency,andboarddirectorswillusuallyreactbyconcentratingontheissuesathand,
avoidingidlechatter,etc.Deadlineswillencouragetheboardtobemoreefficientandeffective,
especiallyastheendofthemeetingapproaches

Remindtheboardofthetime.
Itisalwaysappropriatefortheboardchairtopointout,when
thereisalongdiscussion,thatthereareanumberofotheritemsontheagenda,andthehouris
gettinglate.Infact,mostpeoplewillexpectthechairtodothis.Ofcourse,thechaircanuse
discretionindeterminingwhenacriticaldiscussionrequiresmorethantheallottedtime.

Trackuseofboardmeetingtime.
Studiesofregularschoolboardmeetingshaverevealed
that,insomecases,boardsdevoteaslittleas10%oftheirtimeonmattersrelatedtoteaching
andstudentlearning.Onewayofmaintainingandincreasingtheboardsfocusonmattersofreal
importanceistotrackactualuseofboardmeetingtime.Startwiththewrittenmeetingagenda
thatincludestimeestimatesforeachitem.Makesurethattheseoriginaltimeestimatesreflecta
focusonpriorityboardworkassuggestedearlier.Aboarddirectorcanbeaskedtoserveas
processobserver,notingactualtimespentoneachagendaitem.Thenattheendofthemeeting,
aspartofabriefevaluationonmeetingeffectiveness,thechaircanasktheobservertoreport
results.Theresultscanbeusedasthebasisforfutureimprovementintheuseofboardmeeting
time.

ConsentAgendas

Toexpeditebusinessatacharterschoolboardmeeting,theboardcanapprovetheuseofaconsent
agendathatincludesthoseitemsconsideredtoberoutineinnature.Aconsentagendawouldappearas
partoftheregularboardmeetingagenda.Fullinformationabouttheseitemsshouldbeprovidedtothe
boardinadvanceintheboardpacketandanyquestionsorconcernscanbedirectedtothemakersof
themotionsandansweredpriortothemeeting.Thisallowsthoroughexaminationoftheroutineitems
withoutusinguppreciousboardmeetingtime.

Anyitemwhichappearsontheconsentagendamayberemovedfromtheconsentagendabyamember
oftheboard.Theremainingitemswillbevotedonbyasinglemotion.Theapprovedmotionwillthenbe
recordedintheminutes,includingalistingofallitemsappearingontheconsentagenda.Useofa
consentagendaeliminatestheneedtovoteseparatelyonmanyoftheroutineitemsandresolutionsnot
requiringexplanationorboarddiscussion.Thereisgenerallyonemotiontoapproveallitemsonthe
consentagenda,butittakesonlytherequestofanyoneboarddirectorgenerallynotaformal
votetoremoveanyitemfromtheconsentagendabeforethevote.Ifremovedfromtheconsent
agenda,theitemwillbetakenuplaterintheregularagenda.Thatitemisthendiscussedandvotedon
separately,aftertherestoftheconsentagendahasbeenapproved.
93

Inallcases,itisassumedthereisnothingcontroversialabouttheseitemsandthereforenoneedfor
discussion.Groupingagendaitemslikethesefacilitatesthemeetingandallowstimetobeproperly
spentonissuesthatdoneeddiscussion.

22
Herearesomeexamplesofroutineitemsthatcanbeincludedinaconsentagenda:

Committeeandpreviousboardmeetingminutes.
Minorchangesinaprocedure.
Routinerevisionsofpolicy.
Updatingdocuments,forexample,addresschangeforthecharterschool.
Standardcontractsthatareusedregularly(confirmationofusingthetraditionalinhousecontract
withanewvendor).
Confirmationofconventionalactionsthatarerequiredinthebylaws(forexample,signatory
authorityforabankaccountoracceptanceofgifts).

AnnualCalendarOfM ajorBoardDecisions

Anothertoolthatcanhelpcharterschoolboardsmaintaintheirfocusongovernancepolicyandcritical
emergingissuesisanannualcalendarofmajordecisions.Toagreatdegree,themajordecisionsthata
charterschoolboardmakesaremadeonanannualbasis.Herearesomeexamples:

Monitoringstudentachievement.
Annualreviewandupdateofthecharterschoolstrategicplan.
Settingtheannualbudgetoftheschool.
Reviewoftheadministratorsperformance.
Settinggoalsforthefollowingyear.
Evaluationoftheeffectivenessoftheeducationalprogram.
Election/selectionofnewmembersoftheboard.

Majordecisionssuchasthesecanbescheduledonanannualbasis.Inthiswayotherdecisionsand
workcanbescheduledinatimelymanner.Bymappingoutmajordecisionsinadvance,thiscanalso
facilitatedecisionmakingbytheboardscommittees.Itcanalsohelpthecharterschooladministrator
organizehisorherpriorities.Someofthesedecisionswillbetiedtoannualandstrategicplanning
discussedinthenextchapter.AsamplecalendarofdecisionsisincludedintheToolsSectionofthis
chapter.

OrganizationalDashboard

22

BoardsInMotion:HowtoHaveBetterMeetings,
BoardMemberNewsletter
,NationalCenterforNonprofit
Boards,Sept.1999.

94


Anothertoolthatcanbeusedtoincreasetheeffectivenessofboarddecisionmakingisthe
organizationaldashboard.Chait,HollandandTaylordescribethistoolin
ImprovingthePerformance
23
ofGoverningBoards
. Thedashboardincorporateskeysuccessfactorsofthecharterschoolthe
mostessentialareasofperformance.Thesearethevariablesthatmostdeterminewhetherthecharter
schoolwillsucceedorfail.Oncethecriticalsuccessfactorshavebeenidentified,theboardandthe
charterschooladministrator(andotherkeystaff)canthenproposeandconsiderstrategicperformance
indicatorsthequalitativeandquantitativedatathatmostaccuratelymeasureandconveythecritical
areasofperformance.Thesecriticalsuccessfactorsshouldbelinkedtothecharterschoolapplication
andcontractaswellasthecharterschoolstrategicplan.Byfocusingontheseindicators,theboardcan
positionitselftoplaceitsfocusonthepriorityareasofgovernance.

Asthedashboardmetaphorimplies,theboardwillregularlyrefertotheorganizationaldashboardfor
feedbackonhowwelltheschoolisdoingrelativetothecriticalsuccessfactors.Inthisway,corrective
actioncanbetakenbeforenotduringorafteracrisiserupts.Thelatestversionofthedashboard
willbeincludedintheboardpacketofinformation.Thereviewofthedashboardwillbeastandardpart
ofeachregularboardmeeting.Amostcurrentversioncanbemaintainedontheschoolswebsite,
availableforboarddirectorsanytime.

Picturethecriticalperformanceindicatorsforacharterschooldisplayedasa13pagechartthatwould
enabletheboardtoregularlyanswerthefollowingquestions:

Areweincompliancewithourchartercontract?
Howwellareourstudentsperforming?
Areweattractingnewstudentstothecharterschoolandretainingstudentscurrentlyenrolledin
thecharterschool?
Howwellisourstaffperforming?
Areweattractingandretainingskilled,dedicatedpaidstaffandvolunteers?
Whatisthelevelofinvolvementofparents?
Whatisouroverallfinancialperformance?Isourrevenuestructurebalanced?Arewe
deployingourfundsappropriatelyandaccordingtotheapprovedbudgetofthecharterschool?
Howwellareweacquiringtheresourcesweneed?Howwellareweusingandmanagingour
resources?

Thedashboardcanalsobeapowerfultoolforregularlycommunicatingwithparents,funders,
communitysupporters,aswellasthecharterauthorizingbody.

ProvidingTheBoardTheInformationItNeedsToM akeEffective
Decisions

23

Chait,Richard,Holland,Thomas,andTaylor,Barbara,
ImprovingthePerformanceofGoverningBoards
,OryzPress,
1996.

95


Theeffectivenessoftheboardsdecisionmakingwillincreasedramaticallyifcriticalinformationissent
inadvanceofmeetingssothatboarddirectorscanhavetheirideasandquestionswellformulated
beforehand.

CharacteristicsofGoodBoardInformation
Considerwaystoenhancethequalityofboardinformation.BarryS.Bader,aconsultantandauthor
specializingingovernance,identifiessevenguidelinesfordevelopingeffectiveboardinformation:

Concise
.Istheinformationcommunicatedasquicklyorasbrieflyaspossible?
Meaningful
.
Istheinformationpresentedinrelationshiptoasignificantfactor,suchasagoal
setbytheboard,pastperformance,orcomparativedata?
Timely
.Istheinformationrelevanttothecurrentagenda?
RelevantToResponsibilities
.Doestheinformationhelptheboardorboardcommittee
dischargeitsresponsibilities?
BestAvailable
.
Istheinformationthebestavailableindicatorofthesituationorconditionbeing
described?Canbetterinformationbeprovided?
Context
.
Isitclearwhythisinformationisimportant?
GraphicPresentation
.
Couldtheinformationbepresentedbettergraphicallythaninwords?

BoardBookContainingTheAgendaAndInformationPacketInAdvanceOfBoardMeetings
Aneffectivewaytoprovideboarddirectorswithneededinformationinatimelymanneristhrougha
writtenboardbookorboarddirectorpacketthatgoesoutbeforeboardmeetings.

24
Themostinformativeandusefulboardbooksincludesomeorallofthesefeatures:

Acovermemofromtheboardchairandthecharterschooladministratorthatoutlinessignificant
developmentssincethepreviousmeetingandpreviewsthegoalsandkeyissuesforthismeeting.
Anupdatedcopyoftheorganizationaldashboard.
Agendasforallcommitteemeetingsandtheboardmeetingthatincludeforeachmajoritemaset
ofdiscussionquestions,aconcisestatementastowhythemattermustcomebeforetheboard,
anessentialsupportingmaterials.
Anexecutivesummaryofanydocumentinthebooklongerthanafewpages.
Minutesofthepreviousmeetingsoftheboardandcommittees.
Alistoftheboardscurrentgoalsandstrategicpriorities(asareferenceforboarddiscussion
anddecisionmakingatthecomingmeeting).
Acopyofthemissionstatementandalistofprincipalgoalsfromthestrategicplan.
Evaluationformsforboardandcommitteemeetings,ifthecharterschoolboardusessuchtools.
Arosterofboarddirectorsandstaff,withaddresses,phoneandfaxnumbers,emailaddresses
andcommitteeassignments.
Copiesofrecentnewsclippingsregardingthecharterschooland/orcharterschoolsgenerally.
Aschoolcalendarforthecomingmonth.
Copiesofanyrelevantschoolnewsletters,announcementsofupcomingschoolevents,etc.

Ibid
.

24

96


CommunicationInBetweenBoardMeetings
Inadditiontotheboardbookdescribedabove,additionalinformationcanbeprovidedtoboard
directorsinbetweentheregularmeetings.Insomecases,thisinformationwillsupplementwhathas
beencompiledintotheboardbook.Today,withmoreboarddirectorshavingaccesstotheInternet,in
additiontoprintedmaterial,theinformationneedsoftheboardcanbehandledbyutilizingtheschools
Websiteandemail.

Inadditiontoinformationsent
from
theschool
to
boarddirectors,useofemailmakesiteasierforboard
directorstocommunicate
to
theschool,thecharterschooladministrator,andthechairoftheboard,as
wellaseachother.IntheToolsSectionofthischapter,seethesampleBoardCommunicationPlan.

Chapter4:ToolsYouCanUse
SamplesOfFoundationDocuments
FlowChart:HowBoardDecisionsAreMade(Source:TheCenterforPublicSkillsTraining)
ExecutiveCommittee/BoardMeetingPlanningForm(Source:TheCenterforPublicSkills
Training)
QuestionsBeforeMakingSoundDecisions(Source:BoardMemberOrientationManualby
AspenPublishers)
SampleBoardMeetingAgenda(Source:TrusteeHandbookbyMaryHundleyDeKuyper)
publishedbyNationalAssociationofIndependentSchools)
SampleBoardPoliciesinCriticalAreas:conflictofinterest,enrollment,etc.Seethefollowing
websites:IndependentSchoolsAssociationoftheCentralStatesat
www.isacs.org
clickon
Monographs,thenscrolldownandclickonBoardofTrusteesandBusinessOperations
forsamplepolicies.AlsoseeMinnesotaCouncilofNonprofitsmanagementresourcesat
http://www.mncn.org/manage.htm#2
.AlsoseeUSCharterSchoolsat
www.uscharterschools.org
.AlsoseetheFreeManagementLibraryofTheManagement
AssistanceProgramforNonprofits(MAP)at
http://www.mapnp.org/library/boards/boards.htm#anchor1322914
.
DecisionmakingMatrix(Source:WashingtonCoreKnowledgeSchool)
BoardCommunicationPlan(Source:RobertHarrisCAE,TheNonprofitResourceCenter)
PolicyDevelopmentSteps(WashingtonStateSchoolDirectors'Association)
BoardMeetingEvaluationForm(Source:Y.W.C.A.ofGreaterMilwaukee)
SampleBoardOperationsCalendar(Source:TheManagementAssistanceProgramfor
Nonprofits)

EssentialResourcesforBoardDecisionmakingandM eetings
Fletcher,Kathleen,
ThePolicySampler
,NationalCenterforNonprofitBoards,2000.Contains
adiskettewithover70policiescoveringcriticalareassuchasconflictofinterest,grievances,
sexualharassment,nepotism,confidentialityandmore.Comeswithprinteduserguide.
Gardner,Laurie,
CharterSchoolGovernanceToolkit
,FirstEdition,CharterSchools
DevelopmentCenter,1999.Section2includesagoodselectionofsamplepoliciesthatcanbe
adaptedtomeetyourcharterschoolsspecificneeds.
Smoley,Eugene,
EffectiveSchoolBoards
,JosseyBass,1999.
97

ExecutiveCommitteeAgendaPlanningForm

Date
_ ____

ItemsforExecutiveCommitteeAction/Decision:

1.

2.

3.

ItemsforExecutiveCommitteediscussionand/orreferraltofullboardas
actionitems(withorwithoutrecommendation)orasinformationalitems:

1.

2.

3.

ItemsforExecutiveCommitteeinformationonly:

1.

2.

3.

Keyitemsfornextboardmeeting:

98


1.

2.

3.

QuestionsforM akingSoundDecisions

(Source:Adaptedfrom:
BoardMemberOrientationManual
byAspenPublishers)

Directions:Askyourselfthesequestionswhenyourefacedwithatoughboarddecision.
Thislistwillhelpyouthinkthroughyourdecisionandthereasonsforit.

1.Howwillthedecisionaffectthecharterschool?

2.Howdoesthisdecisionrelatetoourmissionstatement?

3.WhatsthepotentialforlegalproblemsifIvoteyes?WhatifIvoteno?

4.Doesthisdecisionaffect:

Thechildrenandfamiliesweserve?How?

Thecharterschoolsstaff?How?

Thecommunity?How?

Thecharterschoolboarditself?How?

Istheimpactonanyofthesegroupsnegative?Ifitis,willthedecisionbenefitsignificantlymore
peoplethanitwillharm?

5. Havewevotedonthismatterbefore?Ifyes,whyareweconsideringitagain?Howhave
conditionschanged?

6. DoIhavealltheinformationIneedtomakeasounddecision?WhatquestionsshouldIaskbefore
99


makingthisdecision?

7. IfsomeoneaskedmetojustifywhyImadethisdecision,canIexplainmydecision?

100

SampleBoardMeetingAgenda
(Source:Firstappearedin
TheTrusteeHandbook,SeventhEdition
,byMaryDeKuyper,publishedbytheNational
AssociationofIndependentSchools.Reprintedwithpermission.)

CalltoOrder
(Welcomebythechair,whosharestheobjectivesofthemeetinginreviewstheagenda)

ConsentAgendaItemsItemsPreviouslySentToTheBoard
(Aspreviouslydescribedinthischapter,theconsentagendaincludesitemsthatareapprovedbyconsent
(withoutavote,ifthereisnoobjection)orbyformalvote.Singleitemscanbetakenoffcalendarin
consideredseparately,itevenonlyonememberwishestodoso.Typicalitemsinthiscalendarare:
Minutes.
Routineratifications.
Boardapprovalrequiredbythebylaws,suchastheapprovalofbankingrelations.)

TreasurersReportItemPreviouslySentToTheBoard
(Thisisanopportunityforthetreasurertoanswerquestionsonfinancialreportsorbringitemsforaction.)

CharterSchoolAdministratorsReportItemPreviouslySentToTheBoard
(Opportunityfortrusteestoaskquestionsonthewrittenreportandforthecharterschooladministratorto
shareanyconfidentialitemsshe/hedidnotwanttoputinwriting.Theadministratorcanalsousetimeto
updateboarddirectorsonbroadeducationalissuesandtrends.)

CommitteeReportsItemsPreviouslySentToTheBoard
(Beginwithcommitteesthathaveactionitemsthatallowtimeforquestionsonothercommitteesreports.
Remember,committeesdonotneedtobeoneveryagendaiftheyhavenotsentoutareportorhave
actionitems.)

IssuesDiscussion/IndepthBoardEducationItemsPreviouslySentToTheBoard
(Thisisthepartoftheagendaortheboardcanbreakupintosmallergroupsandorhaveinteractive
educationortraining.)
Old(Unfinished)Business
(Itemsthathavebeenpostponedfromornotfinishedfrompreviousmeetingsarehandledhere)

NewBusiness
(Thisisanopportunityforaboarddirectortobringupitemsthathavenotbeenplacedontheagenda.In
thecaseofmajorissues,therelikelywouldnotbeenoughtimeforathoroughdiscussionoftheitem.The
boardcouldagreethatsuchanissuewouldbescheduledfordiscussionatfutureboardmeetingor
delegatedtotheappropriatecommitteeforinitialdiscussionwithareportbacktotheboardatafuture
meeting.)

EvaluationOfTheMeeting
(Thiscanbeaquick,twominuteappraisal.Boarddirectorsanswertoquestions:"Whatwentwell?"and
"Whatdidnot?"Alsoseeboardmeetingevaluationforminthetoolssectionofthischapter.)

Adjournment

101

WashingtonCoreKnowledgeSchool
DecisionMakingMatrix

February20,1997

Purpose

ThepurposeoftheWCKSDecisionMakingMatrixistometiculouslydefinetheroleofeachmember
oftheWCKScommunity.Inthisoverviewwearesummarizingthethemescontainedwithinthematrix,
butthefinalauthorityresideswiththecontentsofthematrixanditsinterpretationbytheSiteBased
ManagementTeam.Eachdecisionareaisspecifiedwithrespecttothefollowingcategories:

WhoShouldDecide
whichpersonorgrouphasthefinalsayinadecisionarea.

WhoShouldRecommend
whichpersonorgroupwillberesponsibleforrecommendingasolution.

SolicitInputFrom
whichpersonorgroupwillbecontactedinordertoobtainanopinionor
informationpriortothedecisionbeingmade.Inputsarealwayswelcomefromanybody,butsomeneed
tohavetheirinputsolicited.

WhoWillBeInformed
whichpersonorgroupwillbeinformedofthedecisiononceitismade.The
decisionmakerisresponsibleforinformingtheproperpeople.

DecisionMakingProcess
whichofthefivepossibledecisionmakingprocesseswillbefollowed.

102

SummaryoftheRolesofVariousPersonsandGroups

SBMC

TheSiteBasedManagementCouncilistheprimarypolicymakingbodyinWCKS.Itisthisgroupthat
setstheschool'sgoals,improvementstrategies,andcalendar,andmakesallmajorsitepolicies.Any
authoritynotmandatedbystatuteorStateorDistrictpolicyeitherresideswiththeSBMCoris
delegatedbytheSBMC.Incasesofcontroversy,theSBMCmaychoosetoretaindecisionmaking
authorityfromthegroupstowhomauthorityhasbeendelegated.TheSBMCconsistsofParent
AdvisoryBoard(PAB)andtheTeacherAdvisoryBoard(TAB).

PAB

ThePABconsistsofsevenparentselectedbytheparentcommunity.Itsprimaryfunctionisbeinghalfof
theSBMC,butitalsohasaspecialroleinmentoringandevaluatingtheprincipal.MembersofthePAB
aretoserveasadvocatesfortheparentsindisputeswithstaffmembers.

TAB

TheTABconsistsofsixteachersplustheprincipal.LikethePAB,itsprimaryfunctionisaspartofthe
SBMC.TheTABhasauniqueroleinclassroomschedulingandmakingCertifiedJobDescriptions.

Administration(Principal)

Theprincipalisresponsibleforthedaytodayoperationoftheschoolandhasthefinalsayinmattersof
personnelhiringandevaluations,inaccordancewithPSDpolicy.Theprincipalworkswiththefaculty
ontheutilizationoftextbooksandclassroommaterials.

Teachers

Teachersdecideontheirownuseoftextbooksandclassroomsupplies,electtheTAB,andare
representedonvariouscommittees.

Faculty(allschoolstaff)

Thestaffdecidesteachingstrategies,theirownclassroomorganization,andhaveinputintoallmajor
policydecisions.

Parents
ParentselectthePAB,arerepresentedoncommittees,andhaveinputintoallmajorpolicydecisions.

103


Committees
Thevariouscommitteesintheschoolareresponsibleformakingthefinalrecommendationontheir
relevantpoliciesorpersonnelitems.

DecisionMakingProcesses:

Problem>Decide>Share
Problem>Input>Decide>Share
Problem>Recommendation>Input>Decide>Share
Problem>Input>Recommendation>Input>Revisions>Decide>Share
Problem>Recommendation>Input>Revisions>Input>Revisions>Decide>Share

KeytoAbbreviations
A=Administration(Principal)
All=AllStakeholders
C=Committee(aslisted)
CDE=ColoradoDept.ofEducation
CKF=CoreKnowledgeFoundation
F=Faculty(allschoolstaff)
P=Parents
PAB=ParentAdvisoryBoard
PSD=PoudreSchoolDistrictT=Teachers
SAAC=SchoolAccountabilityAdvisoryCommittee
SBMC=SiteBasedManagementCouncil
SC=StudentCouncil
S=Studentbody
TAB=TeacherAdvisoryBoard

104


Area

WhoShould
Decide(e.g.who
isaccountable)

WhoShould
Recommend

Solicitinputfrom

Whowil
informed

1. Determine,AssessandEvaluate
SchoolImprovementPlan(School
Goals:Statemandated&ourown)

SBMC

SAAC

AllCommittees

All

2. Strategiestoachieveabovegoals

SBMC

SAAC

AllCommittees

All

3. CommitteeStructure(mission,vision,
goalsandreporting,responsibilities)

SBMC

Committees
themselves

P,F,S

All

4. DetermineAcademicStandards
(State,PSD,WCKS)

SBMC,PSD,
CDE

C(Curriculum)

T,
C(Assessment)

All

5. TextbookSelection

SBMC

C(Curriculum)

T,A,PSD,CKF

All

6. Useofselectedtexts

T,A

n/a

n/a

n/a

7. InstructionalMaterialsandSupplies
Selection

T,A

n/a

n/a

n/a

8. ComputingEquipment,Strategyand
Selection

SBMC

C(Technology)

PSD,CDE,F

All

9. EquipmentandSuppliesSelection
andStorage(location,accessibility
anduse)

n/a

10. TeachingStrategies(i.e.classroom
organization,scheduling,lesson
planning,etc.)

n/a

n/a

n/a

11. Handlingofmissingassignments

n/a

n/a

P,S

12. PolicyforProcessofStudent
PlacementandTransfer

SBMC

TAB

T,P

All

SchoolGoals

Curriculumand
Instruction

Personnel

105


13. TeacherJobDescription

14. StaffingUtilization(Certifiedand
Classified)

SMBC

F,PAB

All

15. TeacherHiring(includesconfidential
developmentrecommendationsto
Administrator)

C(Hiring)

Appropriate
references

All

16. AdministrationHiring

PSD

C(Selectionper Appropriate
charter)
references

All

17. ClassifiedHiring

PSD

C(Selectionper Appropriate
charter)
references

All

18. ScheduleforSpecials(i.e.Art,
Music,Library,P.E.,etc.)

TAB

Specialsteachers

19. AdministrationJobDescriptionand
Responsibilities

PSD

PAB

F,P

All

20. AdministrationEvaluation

PSD

PAB

F,P

21. CertifiedJobDescriptionand
Responsibilities

TAB

F,PSD

22. CertifiedEvaluation

n/a

F,P,S,PSD

Individua

23. ClassifiedJobDescriptionand
Responsibilities

n/a

F,PSD

24. ClassifiedEvaluation

n/a

F,P,S,PSD

Individua

25. InitialandOngoingEducationofthe
SchoolPhilosophy

SBMC

TAB

PAB,F

26. UtilizationofInServicedays(i.e.
whatisdoneonscheduleddays)

TAB

All

27. WCKSMentoringProgram

TAB

F,PAB

F,PAB

28. ProfessionalConferencespaidforby
WCKS

n/a

StaffDevelopment

106


29. IndividualCorrectiveActionPlan(see A
#15)

n/a

mentor,SBMCas Individua
individuals
(confidentially)

30. ProfessionalDevelopmentGoalsand
Plans

T,A

n/a

T,CDE,PSD

Individua

31. TeacherPlanningdaysguidelines

TAB

n/a

T,A

SBMC

C(Assessment)

T,P,A

All

33. BehavioralStandardsPolicy(Doorto SBMC


DoorCodeofConduct)

C(Discipline&
Decorum)

F,P,S

All

34. WCKSSchoolCalendar(includes
socialevents,meetings,etc.)

SBMC

All

All

35. ProcessforSchedulingParent
Conferences

TAB

n/a

PAB,F,PSD

All

36. Schoolwiderequirements(i.e.
ScienceFair,ECOweek)

SBMC

C(appropriate)

F,PAB

All

37. StudyHallPolicy

SBMC

T,PAB

All

38. WeeklyCommunication.(i.e.Friday
notescontent,Brochures,Press
Releases,ParentEducation,
Advertisements)

Robwillworkon
firstpass

39. CurriculumMaps

n/a

n/a

A,P,S

40. Annualschoolwidebudget

SBMC

PAB&TAB
Treasurers,A

F,PAB

All

41. Schoolwidebudgetpolicy

SBMC

PAB&TAB
Treasurers,A

F,PAB

All

42. Classroombudgetpolicy(e.g.
appropriateuseoffunds)

SBMC

TAB

F,A,PAB

Communication
32. ReportCardFormatandGrading
Policy

BUDGET

107


43. Facilitiesplanning&capital
improvements

SBMC

C(Facilities)

F,PAB,PSD

All

44. FundRaisingpolicy

SBMC

C(FundRaising)

PAB,SB,F

All

45. Grantwritingpolicy(SteveYeldell
writesfirstpass)

SBMC

C(Grants)

SBMC

All

46. Parentcontributionpolicy(i.e.money SBMC


requestsforfieldtrips,classactivities,
etc.)

PAB

F,P

All

47. Nonprofitfoundation(i.e.501C3)

SBMC

C(Adhoc)

F,P,PSD

All

AssessmentandEvaluation

48. FormalAssessmentPlan(includes
COmandatedtests,PSDtestsand
WCKSspecifictests)

SBMC

C(Assessment)

T,A,PSD,CDE, All
C(Curriculum)

n/a

n/a

P,S

50. InventoryofSuppliesandEquipment
(byclassroom)

n/a

n/a

F,PSD

51. Academic(e.g.cumulativefolders,
yearlygradebooks,etc.)

n/a

n/a

A,PSD

52. Behavioral(i.e.documentationof
behaviorcodeoffenses,also#33)

n/a

n/a

P,S,F

53. AgendasforStaffMeetings

1.A

1.n/a

1.F

1.F

SBMC

PAB

Individua

55. StudentAttendancePolicy/
SBMC
Procedure(absences,tardiness,make
uppolicies)

P,PSD

All

49. InformalClassroomAssessments(i.e. T
mathfactschallenges,1minute
readings,etc.)
RecordKeeping

SchoolCulture
54. Professionalconferencesforparents
paidforbyschool(e.g.CK
conference,etc.)

108

56. FieldTripPolicy(includingfunding,
typesandapproval)

SBMC

TAB

F,PAB,PSD

All

57. AssemblyGuidelines

TAB

F,SC,C
(appropriate)

All

58. ClassroomLocation

TAB

n/a

C(Facilities),F

59. PolicyforRewards&Recognitionfor SBMC


Students

PAB,SC,TAB

All

60. PolicyforRewards&Recognitionfor SBMC


Teachers

PAB,SC,TAB

All

61. PartnershipBehavioralStandards

SBMC

C(Discipline&
Decorum)

F,P

All

62. StudentSafety&SecurityPlan

SBMC

F,C(AdHoc
Safety),PSD

All

63. Lunchroom&RecessScheduling

TAB

n/a

109

PolicyDevelopmentSteps

Hereisanotherpolicydevelopmentmodeladaptedfromthe
WashingtonStateSchoolDirectors'
Association'sPassporttoLeadership
materials.Thismodelismoreelaboratethantheonedescribedat
thebeginningofthischapterandmaybettersuittheneedsandpreferencesofsomecharterschoolsin
definingtheirpolicies.

StepOne:DefinetheIssueorProblem
Theprocessofpolicydevelopmentbeginswithrecognizingtheneedforwrittenpolicy.Oftenaboardorcharter
schooladministratorfacesadecisionthatwouldbeeasiertomakeifapolicyexisted.Theboardisnotalonein
identifyingpolicyneeds.Parents,students,teachers,localcommunityleaders,thecharterschooladministrator,the
stateorfederalgovernment,andeducationadvocacygroupsareallsourcesofpolicyissuesandproblems.

StepTwo:GatherNecessaryInformationontheIssue

Samplepolicylanguageandanalysisfromyourstatecharterschoolassociationorstateassociationof
schoolboards
Experiencefromotherschools
Educationresearch
Localinput
Stateassociationseminars
Stateorfederallawsandregulations

StepThree:SecureRecommendationsfromcharterschooladministrator
Oncefactsareavailable,theboardlistenstorecommendationsforhandlingthepolicyissue.Thecharterschool
administratorisoftenchangedwithrecommendingpolicyaction,sincehe/sheistheoneresponsibleforcarryingout
thepolicy.

StepFour:DiscussandDebateattheBoardLevel(includeinputofaffectedparties)

Isthecontentwithinthescopeoftheboardsauthority?
Isitconsistentwithlocal,state,andfederallaw?TheU.S.andthestatesconstitution?
Doesitsupportthecharterschoolsgoalsorobjectives?
Isitgoodeducational(personnel,business)practice?
Isitreasonable?(Areanyrequirementsorprohibitionsarbitrary,discriminatoryorcapricious?)
Doesitadequatelycoverthesubject?
Isitlimitedtoonepolicytopic?
Isitconsistentwithboardsexistingpolicies?
Canitbeadministered?Isitpractical?Howmuchwillitcost?

StepFive:DraftPolicy
Aftertheboardhasreachedconsensusonpolicycontent,theboardspolicywritergoestowork.Thispersonmust
beabletowriteclearly,directly,andsuccinctly.Pomposity,verbosity,educationaljargon,and"legalese"shouldbe
avoidedunlessnecessarytomeetlegalrequirements.Policymustbebroadlystatedwithroomforadjustmenttofit
specialcircumstances.

StepSix:HoldFirstReading
Onceinwriting,thepolicydraftisplacedontheboardsagendaforafirstreading,givingnoticetoeveryoneinthe
charterschoolcommunitywhomaybeinterestedthattheboardhasaspecificpolicyunderconsideration.Atthis

110


timetheboardhastheopportunityforpreliminarydiscussionoftheproposedpolicyand,ifitchooses,mayholda
schoolcommunityhearing.Thisisrecommendedforimportantorcontroversialdraftpolicies.

StepSeven:MakeRevisions
Revisethepolicybasedontheinformationgainedformthequestions,commentsandsuggestionsobtainedafterthe
firstreading.

StepEight:HoldSecondReading
Theperiodbetweenthefirstandsecondreadingallowstimeforallconcernedpersonstoaskquestions,make
comments,andoffersuggestionsforchangesandimprovements.Insomeinstances,dependingonthenatureofthe
policy,asecondschoolcommunityhearingmayalsobeheld.

StepNine:AdoptthePolicy

StepTen:DistributetotheCharterSchoolCommunity
Seeingthepoliciesaredistributedaswidelyaspossibleisonewaytoensureimplementation.

StepEleven:OverseePolicyImplementation
Policyoversightisadynamicprocessthatincludesanevaluativecomponent.Oversightisintendedtomakesure
thatthepolicyaccomplishesitsgoal.Policyoversightcanprovideguidanceonwhethertocontinueormodifythe
policyandtodeterminefuturecoursesofaction.

StepTwelve:PolicyEvaluationandRevisionorModification
Policiesshouldbereviewedonaregularbasisasapartoftheboardsstandardoperatingprocedures.Theycan
becomeoutofdate,unclear,orevencontrarytothewayinwhichthecharterschoolisoperating.Whenanyofthis
occursthepolicyneedsmodificationorelimination.Thepolicyamendmentprocessisthesameasthepolicy
adoptionprocess.Theboardsetspolicyandthecharterschooladministratorimplementsthepolicyandmanagesthe
schoolwithintheguidelinessetforthinboardpolicy.Intheabsenceofpolicy,thecharterschooladministratormust
usehis/herownjudgment.

111

BoardCommunicationPlan

(Source:AdaptedfromRobertC.Harris,CAE,NonprofitResourceCenter,Tallahassee,FL,USA,
bob@hmgnet.com)

TheBoardofDirectorsdependsoninformationtomaketherightdecisions.Doesyourcharterschool
haveaplanforcommunicatingwithyourboard?Whetheryouhavestafforvolunteerspreparingforthe
meetings,adependableplantoprovidecriticalinformationinatimelymannerwillbenefittheboard.
Hereisaboardcommunicationsplanthatworkswellforacharterschoolholdingquarterlymeetings.If
youholdmonthlymeetings,thencommunicationswillbeincreasedproportionately.

Fourweeksbeforetheboardmeeting:
Agenda,dateandtime
Locationofmeeting
Backgroundissues

Twoweeksbeforethemeetingatwhichitwillbediscussed:
Proposedannualbudget
Auditorsannualreport
Strategicoroperatingplan

Atthemeetinginawellorganizedfolder:
Agenda
Financialreport
Minutes
Committeereports
Backgrounddocuments
Announcements

Withinfourweeksafterthemeeting:
Minutes
Executivesummaryoractionassignments

Monthly:
Financialreport

112

BoardM eetingFeedbackForm

Date:_________________

Completethisformbeforeleavingtoday.

ExcellentGoodFair
Poor
Weretheissuesdiscussed
432
substantive?
1

Werethematerialsprovidedhelpful
inunderstanding/resolvingthe
432
issues?
1

Wasthediscussionfutureoriented?

432
1

Howcanournextmeetingbemoreproductive?

Basedontoday'sdiscussion,whatshouldwediscussinthefuture?

WhatwasthemostvaluablecontributiontheboardmadeTODAYtothelongterm
welfareofthecharterschoolandthechildrenweserve?

113

Pleasewriteadditionalcommentsbelow:

114

SampleBoardOperationsCalendar

Thefollowingcalendarcanbereviewedbyanorganizationtomodifyaccordingtoitsneeds.The
followingcalendarshouldbeupdatedyearlyandprovidedtoeachboarddirectorandthecharterschool
administrator.
NOTE#1:Therearecertainonetimeactivitiesthattheboardshouldconductduringthestartup
oftheorganization.SeethislistStartupActivitiesListattheendofthisdocument.
NOTE#2:Therearealsocertainactivitiesthatrecurineachregularboardmeeting.Regular
boardmeetingsmightbeheldonceamonth,everytwomonths,onceeverythreemonths,etc.
NOTE#3:Thetimingforeachofthefollowingactivitiesshouldberelativetothetimingofthe
beginningofthefiscalyear.Inthefollowingsampletable,thefiscalyearbeginsJanuary1.

RegularBoardActivity
ApproximateDate
(seeNOTE#3above)
1. Fiscalyearbegins
January(fiscalyeartimingisoftenspecifiedin
theBylaws)
2. ConductBoardSelfEvaluation(doonceayear MarchApril(doshortlybeforeevaluatingchief
andinpreparationforfirstboardretreat)
executive)
3. EvaluateChiefExecutive(byreferencinghisor AprilMay(doshortlyaftercompletionoflast
herprogresstowardslastyear'sgoalsandhisor fiscalyear)
herjobdescription)
4. ReviewandupdateboardpoliciesandpersonnelAprilJune(doconcurrenttoboardandchief
policies
evaluations)
5. Conductfirstboardretreat(addressboard
April
selfevaluationresults,teambuilding,begin
strategicplanning,etc.)
6. Beginrecruitingnewboarddirectors
AprilMay(intimeforJune/Julyelections)
7. Conductstrategicplanningtoproduce
MayJuneJuly(startplanningintimeforsetting
organizationalgoalsandresourcesneedtoreachmission,vision,values,issues,goals,strategies,
goals
resourceneeds,fundingneeds
(nonprofitspecific)
,andtimeforgettingfunds
beforebeginningofnextfiscalyear)
8. Electnewboarddirectors
JuneJuly(perByLaws)
9. Establishchiefexecutive'sgoalsfornextyear(asAugust(asorganizationalgoalsarerealizedfrom
producedfromstrategicplanning,charter
planning)
contract,administratorannualreviewprocess)
10. Holdannualmeeting
July(perByLaws)
11. Draftnextyear'sbudget(basedonresources JulyAugustSeptember
neededtoreachnewstrategicgoals)
12. Developfundraisingplan

(withprimarygoalsto JulyAugustSeptember
getfundsneededtomeetthebudgetbeyond
anticipatedstateandfederalschoolfunding)

115


13. Conductsecondboardretreat(addressboard August(intimetoorientnewboarddirectors
orientation/training,reorganizeorformnew
soonaftertheyjointheboard)
committeesbasedongoalsfromstrategicplan,
developworkplans,updateboardoperations
calendar,reviewplanningstatus,etc.)
14. Conductfundraisingplan

(primarilytomeet AugustDecember
fundraisinggoals)

Copyright1998

UnitedWayofMinneapolisArea
TheManagementAssistanceProgramforNonprofits
2233UniversityAvenueWest,Suite360
St.Paul,Minnesota55114
(612)6471216
andCarterMcNamara,PhD

Chapter5:TheBoardRoleInStrategicThinkingAndPlanning

CriticalBoardBuildingChallenge:Howcanthecharterschoolboardorganizeitselfinorder
tofunctionasaneffective,futurefocusedleadershipteam?

116

WhyCharterSchoolBoardsNeedToThinkAndPlanStrategically

Charterschoolboarddirectorsneedtothinkandplanstrategicallybecausetheyareleadinginoneof
themostinnovativeeffortsinAmericaneducationtoday.They'renotjustleadersofinnovativepublic
schoolstheyhaveanopportunitytobeleadersineducationreformandchangeinAmericaatthe
beginningofthenewcentury.

Thisleadershipimperativereinforcesanumberofthingsthathavebeensaidinthegovernance
guidebooksofartheneedtofocusoncriticalissuesandpolicychallengesvs.administrativedetails
andprogrammaticimplementation.

Inthischapter,wewillfocusontwoareas:theroleoftheboardinstrategicplanningandneedtothink
strategicallyoutsideoftheformalstrategicplanningprocess.

RoleOfTheBoardInStrategicPlanning
Theboardhasacriticalroletoplayinstrategicplanning.Thepurposeofstrategicplanningistodevelop
athreetofiveyearblueprintforthecharterschoolsfuture.Becausetheboardofdirectorsassumesa
largeshareoftheresponsibilityforthesuccessofthecharterschool,itmustprovidethecriticallink
betweentheschoolandtheoutsideenvironmentinwhichthecharterschoolfunctions.Itmustalso
ensurethatthecharterschoolreachesthecommunityitintendstoserve,andeffectivelyservestheneeds
ofitsstudents.Tofulfillthisfunction,theboardshouldhelpthecharterschooladministratortoestablish
astrategicplanningprocess,shouldparticipateintheprocess,andshouldapprovethefinalstrategic
plan.

Formulatingthemissionstatement.
Theboardmustworkwiththecharterschool
administratortoformulate,andperiodicallyupdate,thecharterschool'smissionanddecide
whetherparticularprogramsandservicesfallwithinitsexpressedmission.Themission
statementshoulddefinewhythecharterschoolexists.Itshouldclearlyarticulatethecharter
school'smainpurposeandvalues,andidentifythebeneficiariesofitseducationalprogramsand
services.

Agoodmissionstatementarticulatestheoverallgoalofthecharterschooltoeveryoneinsideand
outsidetheorganization.Itisusedtoguidestrategic,longtermplanningandhelpstokeeptheschool
focusedduringbothsmoothandturbulenttimes.Theabsenceofamissionstatement,orhavingonethat
isunclear,maycauseconfusioninsidethecharterschoolasitfacesvariouschallenges,oritmayresultin
inappropriatedecisions.Foramissionstatementtobeuseful,itshouldbereviewedperiodicallyto
ensurethatitreflectsthecurrentenvironmentinwhichthecharterschooloperatesandthechanging
needsofthechildrenandfamiliesitserves.Thisisparticularlyimportantforcharterschoolsbecauseof
theuncertainpoliticalandeconomicenvironmentsinwhichtheyoperate.

Developingthestrategicplan.
Thestrategicplanchartsthedirectionthatthecharterschool
willtakeoveraperiodofthreetofiveyearstoachieveitsgoalsandobjectivesandfulfillits
117


mission.Indevelopingastrategicplan,theboardandthestaffofthecharterschoolwillneedto
analyzetheinternalandexternalenvironment,identifyopportunitiesorlimitationstofulfillingits
mission,andconsideritsinternalstrengthsandweaknesses.Thisinformationiscriticalto
developingstrategicgoalsandestablishingstrategiesandprogramsdesignedtofulfillthecharter
school'smissioninaperiodofrapidchange.

Theboardandcharterschooladministratorshouldworktogetherindevelopingthestrategicplanning
processandprovideguidanceandinputtotheplan.Theboardcanbeparticularlyeffectiveinproviding
andanalyzinginformationabouttheexternalenvironment,currenttrendsinsocialpolicy,ornewfinancial
opportunities.Becausestrategicplanningtakestimeandeffort,severalsessionswillneedtobe
scheduledtocompleteallthestrategicplanningsteps,includinggatheringinformation,discussingcurrent
andproposededucationalandsupportprograms,projectingthefinancialresourcesthatwouldbe
neededtoimplementtheeducationalprogram,prioritizingprograms,andfinalizingtheplan.Theboard
mustformallyapprovethefinalplan,becommittedtoit,andsupportitsimplementation.Forfurther
discussionondevelopingamissionstatementandprogramstrategy,pleaserefertodescriptionofthe
strategicplanningmodelinthetoolsectionofthischapter.

Thefollowingchartprovidesapictureofsomeofthecomplementaryrolesandresponsibilitiesofboard
andstaffwhomustworkasteamintheplanningprocess:

StrategicPlanning
BoardResponsibilities
Formstrategicplanningcommittee.
Defineprocessanddevelopa
scheduleforcompletingtheplan.
Developthecharterschool'smission
statement.

Provideinformationfromtheexternal
environmentthatwillhelpin
consideringstrategicoptions.
Makestrategicdecisions.
Approveoperationalplanandbudget
thatreflectsstrategicdecisions.
Periodicallyreviewoperationalplan
andbudget.

AdministratorResponsibilities
Participateinstrategicplanningprocess
deviseeffectivewaystoinvolveotherstaff
andkeyvolunteersinstrategicplanning.
Helptheboarddefinethemission
statementbysolicitinginputfromother
staffandcommunicatingtheirideastothe
board.
Collectandanalyzeprogramandservice
data,andpresentresultstotheboard.
Recommendstrategicoptions.
Developtheoperationalplanandbudget
forboardconsideration.Implementthe
operationalplan.

StepsoftheStrategicPlanningProcess
Astrategicplanincludesfivelevels:

Mission
118

Vision
Goals
Strategies
Objectives(Annualplansofaction).

Themainstepsofthestrategicplanningprocesscanbesummarizedinthefollowingway:

1. GatheringandAnalyzingInformation
Strengthsandweaknessesofthecharterschool
needsandserviceexpectationsofparentsandstudentsandotherconstituentgroupsexternal
changesandtrendsthatwillhaveanimpactonthecharterschoolinthefuture.

2. Determiningthemost
criticalstrategicissues,choices,andchallengesfacingthecharter
school
overthenext35years.

3. Developingas
haredvisionforthecharterschoolsfuture
"Ifwecouldhavethecharter
schoolofourdreamsandhavetheimpactwemostdesire,whatwouldwewantittolooklikein
theYear2004?"Thestrategicvisionstatementprovidesdirectionandinspirationfor
organizationalgoalsetting.

4. Affirmingthe
missionorfundamentalpurposeofthecharterschool
"Whydoweexist?"
Whatareourcorevaluesandeducationalphilosophy?

5. Developingg
oals

themajorresultswewanttoachieveoverthenext35years.Goalsfocus
onoutcomesorresultsandarequalitativeinnature.

6. Developings
t rategies
themethodsandapproacheswewillusetoachievegoalsandresolve
criticalissues.

7. Formulating
objectives
thedescriptionofprojectsandactivitiescarriedoutonanannualbasis
toimplementselectedstrategiestherebyachievingthegoals.Objectivesarespecific,
concrete,measurablestatementsofwhatwillbedonegenerallywithinaoneyeartimeframe.

IntheToolsSectionofthischapter,thereisamoredetaileddescriptionofthestrategicplanningprocess
aswellasasetofsampleinformationgatheringworksheetsandotherplanningguidescorrespondingto
variousstepsoftheplanningprocess..

EffectiveStrategicPlanningPractice
Thestrategicplanningprocessismosteffectivewhenthefollowingelementsarepresent:

Establishmentofastrategicplanningcommittee.
Ifthecharterschoolboardisserious
aboutstrategicplanning(anditneedstobe!),itwillestablishastrategicplanningcommittee.The
ToolsSectionofthisChapterincludesasampledescriptionforaboardstrategicplanning
committeejobdescription.

119


Thoroughandsharedunderstandingofstrategicplanning.
Thetermstrategicplanningis
sometimesusedtodescribearangeofplanningactivities.Itisimportantthattheprocessis
lookeduponinthesamewaybyboard,staffandotherparticipantsinthecharterschool
strategicplanningprocess.

Agreementonoutcomes.
Whileitistruethattheexpectedoutcomeofmoststrategic
planningprocessesisastrategicplandocument,itisalsoimportanttodiscussandeventually
agreeuponotherexpectedoutcomes.Forexampletheremaybeaspecificcriticalissuethat
theboardwantstofocusonbymeansofstrategicplanning.Typically,planningoutcomeswill
includesomeorallofthefollowing:

1. Boardleadershipandmanagementstaffwillhaveathoroughunderstandingofthe
criticalissuesandchoicesfacingABC,Inc.throughtheyear2003.
2. Astrategicplandocumentincludingamissionstatement,strategicvisionstatement,
goalsandstrategieswillbeproduced.Theplanwillgivespecialattentionto
organizationalstructurethatwillbestsupporttheoverallstrategicplan.Thedocument
willalsoincludeablueprintforstrategicalliancebuildinginsupportoftheoverall
strategicplan.
3. Anevaluationframeworkconsistingofcriticalsuccessfactorsforeachgoalstatement
andperformancemeasuresforstrategiesselectedforfirstyearoperationalplanningwill
bedeveloped.
4. Theorganization'smissionandstrategicvisionwillhaveadaytodayrelevanceon
managementandgovernance.
5. Therewillbeenthusiasmandsupportforthestrategicplanatalllevelsofthe
organization.

Realcommitmenttotheprocessonthepartofleadership.
Whilethereisnoonerightway
todostrategicplanning,whateverapproachtheboardchooseswillinvolvetime,energyand
carefulthinking.Peoplewillnotcommittheseresourcesiftheyarenotconvincedthatthe
planningprocessisworththeeffort.Sometimesthestartofstrategicplanningprocesswillneed
tobepostponeduntilleadershipwithintheboard,staffandparentbodyhadbecomeconvinced
oftheimportanceoftheprocess.

Involvementofmany.
Inordertobeeffective,strategicplanningmustinvolveindividuals
representingallconstituenciesofthecharterschool:parents,staff,administration,students,
fundersanddonors,andotherkeycommunitysupporters.

Translatingthestrategicplanintoconcretedetailedplansofaction.
Involvementin
strategicplanningexercisesoraoneshottoretreatisnotsufficient.Strategicplanningneedsto
leadtospecificobjectivessetonanannualbasisbystaff,theboardofdirectorsandtheboards
committeesthishelpstoensurethatthemajorityoftheboardstimeandenergyisinalignment
withthemission,vision,andgoalsandstrategiescontainedinthestrategicplan.

Relatingstrategicplanningtoschoolaccountabilityplanning.
Thestrategicplanning
processinacharterschooldovetailswithwhatisknownasthe"accountabilityplanning
120


process."Inthisprocess,theschooladdressesthefollowingquestions:Whatdowewantour
studentstoknowandbeabletodoatdifferentlevels(whatarethe"academicstandards")?
Howwillwemeasurestudentachievementwithreferencetothestandards?Howwillwealign
curriculumandinstructionalpracticestomeetthosestandards?Whatwillwedowiththe
informationweget?Herearesomeresourcesforcharterschoolboardleaderswishingto
explorethistopicandrelateittotheoverallstrategicplanningprocess:

Accountability:TheKeytoCharterSchoolRenewalbyBrunoManno.Goto:
www.edreform.com
.
AComprehensive,PracticalGuidetoHoldingCharterSchoolsAccountable.Goto:
www.cacharterschools.org
.
Resources:Accountability,Standards,Assessment,andUsingData.Goto:
http://www.uscharterschools.org/pub/uscs_docs/ta/account.htm

KeepingYourStrategicPlanVisible
Oncethestrategicplanhasbeendeveloped,charterschoolleadersneedtotakestepsensurethatthe
planbecomesaguidingforcefortheschoolalivingstrategicplan.Herearesometechniquesfor
publicizingyourstrategicplanandmaintainingenthusiasticsupportforitamongkeyinternalandexternal
25
constituentsofthecharterschool.

1. Developarecognizablethemethatsignifiestheplan'sessentialthrust.Thismaybegraphically
representedbyalogoorsomeothervisuallyattractivemeans.Onecharterschooladoptedthe
themeNoExcuses!

1. Publicizebriefsummariesoftheplanandhowyourcharterschoolwilluseit.

2. Lookforopportunitiestorefertothestrategicplaninmeetings,newslettersornewsreleases.

3. Createaslideorvideoshowsummarizingtheplananditsproposedimplementation.

4. Seekmajormediacoveragewhenimportantmilestonesintheplanarereached.Apress
conferencewithgraphicsandchartssummarizingtheplancanbeeffective.

5. Usethestrategicplanasalivingdocumentatcharterschoolboardmeetings.Keepitvisibleand
refertoitregularly.

6. Useretreatsandminiconferencestocontinuetobuildbuyinamongotheragenciesand
communitygroups.Makesurethatthisisaninteractiveprocess,onethat
listens
aswellas
talks.

25

AdaptedfromKeepingYourStrategicPlanVisiblein
StrategicManagement
,publishedbyUnitedWayof
America,dateunknown.

121


7. Createaspeaker'sbureautotakethestrategicplantospecifictargetgroups:thecountyboard,
thecitycouncil,parentgroups,thechamberofcommerce,communityandbusinessleaders,and
nonprofitagencies,forexample.

8. Createpostersizeversionsofyourmissionandstrategicvisionstatementanddisplaythem
throughouttheschoolinclassroomsandmeetingrooms,atthefrontdoor,etc.

StrategicThinkingNotJustDuringTheStrategicPlanningProcess
Inadditiontotheboardscommitmenttoengageintheformalstrategicplanningprocessonaperiodic
basis,itisvitalthattheleadershipoftheboardthinkstrategicallyonanongoingbasis.Thenextsection
ofthischapterisdevotedtodescribinghowtomakethishappen.

ThinkingandActingStrategically:EncouragingVisionaryBoard
Leadership

TherapidpaceofchangeinAmerica,inlocalcommunitiesandineducationrequiresthatcharterschool
boardslookandactdifferentlyfromtraditionalboards.Someforwardthinkingcharterschoolboards
arealreadyadoptinganewapproach.Theyprovideanewprofileofcharterschoolboards,fromwhich
wecanalllearnusefullessons

TheNewProfileofCharterSchoolBoardLeadership
Thenewcharterschoolboardleadershavethefollowingeightqualities:

1. Theyare

visionaryandfuturefocused
,spendingmostoftheirdecisionmakingtime
lookingforward.
2. Theypossessan

e ntrepreneurialspirit
,understandingthattheirorganizationsoperatein
afastchangingmarketplaceseekingproductsandservicestomeetemergingcustomer
needs.
3. Thenewboardleadersare
risktakers
,balancingtheneedtotakechanceswiththe
traditionalstewardshipresponsibilitiesofboardservice.
4. They
aregoodcommunicators
,understandingtheimportanceofeffectivecommunication
atalllevelsandtheyorganizetheboardanditscommitteesaccordingly.
5. Theyare
s ystemsthinkers
seekingtounderstandtherootcausesandforcesthatshape
theissuesandchallengestheywillfaceintheboardroom.Theylookforcoursesofaction
thatwillexertthehighestpossibleleverageastheyrespondtothoseissues.
6. Inthenewboard,leadersalsolookforcreativewaystoconnecttheirorganizationstothe
worldaroundthem,exploringand
imaginingnewformsofpartnershipandalliances
thatwillsupporttheirmissionandadvanceintheirstrategicplan.
7. Thenewboard'sleadersalsohavea
deepappreciationofthestrengthofdiversity
,
understandingthatdiversityhelpstoassureahigherlevelofresponsivenesstocustomers
andalsopromotescreativity,innovationandorganizationallearning.
8. Theyarecommittedto
building

alearningorganization
,realizingthatboardeffectiveness
122


andoverallcharterschooleffectivenesswillbegreatlyenhancediftherearesystems,
practicesandstructuresinplacethatmakeiteasierratherthanhardertolearnonan
individualandorganizationalbasis.

Theabovecharacteristicspositioncharterschoolboardleaderstoexertavisionaryleadershipstyle.
Barriers,however,maygetintheway.Examiningthesebarriersisanimportantstepinrevitalizinga
boardorbuildingapowerfulboardfromscratch.Letslookatsomeofthesebarriersnow.

BarrierstoVisionaryBoardLeadership
Thereareanumberoffactorsthatpreventboardsfromexercisingthekindofvisionaryleadership
describedabove.Takentogether,thesefactorsprovideachecklistforassessingyourboardand
identifyingareastotargetforimprovement.Examiningthesebarrierstovisionaryboardleadershipcan
bethefirststepinrevitalizinganexistingboardorbuildingapowerfulcharterschoolboardfrom
scratch.Let'slookatsomeofthemnow:

Shortageoftime.
Inordertoplayavisionaryleadershiprole,boarddirectorsneedthetime
toattendmeetings,readmaterialsandmaintaincontactwitheachotherinbetweenmeetings.
Thisputspressureontheboardtodoeverythingitcantoorganizeformaximumeffectiveness
andavoidwastingtimeontrivialmatters.

Avoidanceofrisktaking.
Inordertobeinnovativeandcreativeinitsdecisionmaking,
charterschoolboardsmustbewillingtotakechances,totrynewapproaches,totakerisks.In
factinnovationandrisktakingarefundamentalpremisesofthecharterschoolmovement.
Risktaking,however,fliesinthefaceofthetraditionalwisdomaboutboarddirector
stewardshipresponsibilities.Successinneweducationalandotherprogrammaticventuresis
neverguaranteed.Boardsneedtoacknowledgethistensionpointanddiscussitwiththecharter
authorizingbody,parents,funders,donorsandotherkeysupporters.Boardleadersmuststrike
abalancebetweentakingchancesandmaintainingtheirtraditionalstewardshiprole.

Lackofboardinvolvementinstrategicplanning.
Morethananyotheractivity,strategic
planningoffersboardsanopportunitytothinkaboutchangesandtrendsthatwillhavesignificant
impactonthecharterschoolanddevisestrategiestoeffectivelyrespondtochallenges.This
opportunitytoreflecttogetheronthebigquestionsfacingthecharterschoolprovidesnewvision
andasenseoffuturedirectionaswellastheenergytomoveforward.Someboardsarenot
involvedinstrategicplanningatall.Someareinvolvedbutonlysuperficially.Whenthis
happens,theboardlosesanimportantopportunitytohoneandexerciseitsvisionaryleadership
skills.

Lackofknowledgeinanincreasinglycomplexworld.
Theworldismuchmorecomplex
todayformostorganizations,especiallycharterschools.Busyboarddirectorsfrequentlylacka
deepunderstandingofcriticalchanges,trendsanddevelopmentsthatchallengefundamental
assumptionsabouthowitdefinesitsworkandwhatsuccesslookslike.Weseethisshiftmost
dramaticallyintheareasofhealth,educationandwelfare.Often,thislackofknowledgeresults
inalackofconfidenceonthepartoftheboardtoactdecisivelyandauthoritatively.

123


Micromanagement.
RecentlythecitycouncilofamajorAmericancityspentalmostanentire
meetingdecidingwhatcolortopaintthenewstadiumseats.Practicallyallofushavehairraising
storiesaboutboardsthatspentuntoldhoursdiscussingtrivialsubjectswhileneglectingmajor
agendaitemsdeservingtheirmorecarefuldeliberation.Itiscriticalthattheboardfocusesits
attentiononitemsofcriticalimportancetothecharterschool.Inordertodothis,theboard
mustavoidthetemptationtomicromanageormeddleinlessermattersorinareasthataremore
appropriatelyhandledbythecharterschoolstaff.AswepointedoutinChapter1,theaverage
board,meetingmonthlyfortwohours,hasapproximately24hoursofmeetingtimeperyearto
makeallofthemajordecisionsaswellasaddressnewcriticalissuesthatemergefromtimeto
time.Itissimplyimpossibletodoaneffectivejobwithinthose24hoursofmeetingtime,even
ifonlyafewhoursarewastedontrivia.Inaddition,ahabitofboardmicromanagementcan
adverselyaffectthemoraleofstaffandtheboard'sowncommitteesaswell.

Holdingontotheoldways.
Intheirbook,
TheAcceleratingOrganization
,authorsMairaand
ScottMorganstatethatoneprincipleofsurvivalscientistshaveobservedinnaturalsystemsis
thecontinuoussheddingofoperatingrulesthatceasetoberelevantbecauseofchanging
environmentalconditions.Organizations,theysurmise,"canholdonlyasmallnumberofrules
andoperationsatanytimesotheymusthavetheabilitytoshedoldrulestomakeroomforthe
new.Sheddingbecomesmorecomplicatedinsystemsinvolvinghumanbeings,becausetheir
26
senseofselfworthisoftenattachedtomanyoldrules." Thisalltoohumantendencytohold
ontowhatweknowcanpreventboardsfromconsideringandpursuingnewopportunitiesthat
conflictwithsomeoftheoldrulesthatpersist,eveninacharterschool.

Lackofclarityregardingboardstaffrolesandrelationships.
Sometimesboardsassume
thatit'sthejobofthecharterschooladministratortodothevisionarythinking.Whileboards
rightlyexpecttheadministratortobevisionaryanddecisive,thisdoesn'tmeanthattheboardsits
andwaitsfordirectionandinspiration.Thislackofclaritycanresultinboardsthatdon't
exercisevisionaryleadershipbecausetheydon'tthinkit'stheirjob.

Educatorsdidn'thavetobevisionaryinalesscompetitivepast.
Timewaswhen
consumersforus,studentsandfamilieswouldjustwalkintheschooldoorontheirown
orsoitseemed.Viewingthingsinthisway,traditionalpublicschoolboardsdidn'tconsider
marketplacepressures,orforthatmattertheexistenceofacompetitivemarketplace.Today,
especiallyineducation,allthathaschanged.Andcertainly,charterschools,whichhavetowork
hardtorecruitandretainstudentsandfamilies,arewellawareofthesecompetitivepressures.
Adoptingtheapproachesoftraditionalschoolboardswontworkforcharterschools.

Someofthesebarrierswillbefamiliar.Allcanbeovercome.Let'slookatfivestrategiesthatcanhelp
yourboardadoptavisionaryleadershipstyle.

StrategiesToFosterVisionaryBoardLeadership
Strategy1FocusontheUltimateEndsoftheOrganization
Onceagain,takingourinspirationfromJohnCarver,authorof
BoardsThatMakeaDifference
,the
Maira,ArunandScottMorgan,Peter,
TheAcceleratingOrganization
,McGrawHill,1997.

26

124


27

boardandmustconcentrateonthecharterschoolsultimateendsratherthanthedaytodaymeans.
Boarddirectorsshouldfocusonthemission,vision,goalsandstrategiescontainedinthestrategicplan.
Theyshouldleavedailymanagementtothestaffandcharterschooladministrator.Thisthemeis
addressedinChapter1andChapter7oftheGovernanceGuidebook.

Strategy2CreateaLongrangePlanfortheDevelopmentofFutureBoardLeadership
Incontrasttothetypicalshorttermrecruitmentprocessthatfocusesnarrowlyonfillinganticipated
charterschoolboardvacanciesforthecurrentyearonly,boardsneedalongrangeplanfordeveloping
futureleadership.(RefertoChapter2formoredetail)

Suchalongtermplancentersonthefollowingquestions:Whowillbeservingonandleadingtheboard
overthenextthreeyears?Whatisourplantoscoutboardleadershiptalentforthefuture?Howwill
wegoaboutfosteringanddevelopingfutureboardleadership?Keyelementsofthisapproachinclude:

Replacethenominationscommitteewithaboarddevelopmentcommittee.Thiscommitteewill
usethekeyquestionslistedabovetodeviseanongoingprocessthatincludesprospecting,
recruiting,selecting,orientingandtraining,andperformanceassessmentofboarddirectors.

Linkboarddevelopmenttoyourstrategicplan.Identifythenewskills,knowledge,personal
contacts,andotherattributesfutureboarddirectorswillneedtopossessinorderfortheboard
todoitspartinadvancingthestrategicplan.Basedonthisanalysis,developtargetedboard
recruitingpriorities.

Developawrittenboarddirectorjobdescriptionthatreflectsthefutureneedsandexpectations
oftheboard.

Directtheexecutivecommitteetodesignboardmeetingagendasthatfocusattentiononthe
ultimateendsandavoidmicromanagement.

Conductanannualevaluationoftheboardthatfocusesinpartonhowwelltheboardis
maintainingafocusonthe"ultimateends"questions.

Developajustintimeboardorientationprogramtospeedupthelearningcurvefornewboard
directorssothattheycanhitthegroundrunningintheirfirstmeeting.Again,itisimportantto
linkthisadvanceprogramoforientationandtrainingtothestrategicplan.(RefertoChapter3of
theguidebook.)

Strategy3DevelopaSharedVisionoftheOrganization'sFuture
Thekeyquestionforboardsisthefollowing:"Ifwecouldcreatethecharterschoolofourdreamsthat
willhavetheimpactwemostdesire,whatwouldthatlooklike?"Theboard'sanswertothisquestion
capturestheorganization'svision.Asmentionedearlier,itiscriticalthattheboardbeinvolvedinthe
developmentofasharedvision,thecenterpieceofthestrategicplan.Oncetheboardhasdevelopeda
visionstatement,lookforwaystolivethevisioninyourorganization.Forexample:
Carver,John,
BoardsThatMakeaDifference
,JosseyBass,1997.

27

125

Usethevisionasaframeworkforboarddecisionmakingineverymeetingnotjustduring
theannualplanningretreat.
Shareyourvisionwiththewidercommunity.Onceyougopublic,it'shardnottoliveupto
thevision.
Askboarddirectorswhattheythinkismostexcitingandinspiringtothemaboutthe
wordingoftheorganization'svisionstatement.
Usethevisionasthebasisforregulardialogueonemergingissuesandchallenges.
Seekmajormediacoveragewhenstrategicplanmilestonesarereachedandusethisasan
opportunitytopromoteyourvisionbothinsideandoutsideofthecharterschool.

Strategy4KeepupwiththeRapidPaceofChange
Anotherstrategyfornurturingvisionaryleadershipistohelptheboardkeepupwiththerapidpaceof
change.Provideinformationthathelpstheboardthinkaboutthesekeyquestions:Whatexternal
changesandtrendswillhavethegreatestimpactoverthenextthreetofiveyearsonthecharterschool
andthechildrenandfamiliesitserves?Howcanthecharterschooleffectivelyrespondtothesechanges
andtrends?Howareotherschoolsandyouthservingorganizationsrespondingtothesechangesand
trends?

Let'sremember,however,thatbusypeoplewillhavedifficultyfindingtimetoreadalotofmaterialsoif
youintendtoshareinformationwiththeboard,especiallyinprintedform,makesurethatitistimely,
relevantandwellsummarized.Herearesomesuggestionsforhelpingboarddirectorsstaycurrent:

Scheduletimeduringtheregularboardmeetingsfordiscussionabouttheimpactofkey
externalchangesandtrendsandemergingcriticalissues.
Encourageindividualboarddirectorstoread,listenandlookforinformationaboutemerging
trendsandbringthisinformationtotheattentionoftheboard.
PeriodicallysendboarddirectorsshortreadablearticlesandinformationaboutWebsites
summarizingrelevantfuturetrends.
Involvetheboardinongoingstrategicplanningasawaytoexposethemtoexternaltrend
data.

Strategy5StayinTouchwiththeChangingNeedsofYourCustomers
Thefifthstrategyfortransformingtheleadershipstyleoftheboardistoprovidememberswith
informationtoenablethemtostayintouchwiththechangingneedsofchildrenandfamiliesservedby
thecharterschoolnowandinthefuture.

Keyquestionsinclude:Whatdoourconstituents,primarilychildrenandtheirfamiliesenrolledinthe
charterschool,thinkoftheorganization(i.e.,Whatistheirperceptionorimageofthecharterschool?)
Whatarethemostimportantfutureneedsandserviceexpectationsofthecharterschoolonthepartof
ourconstituents?Fornewneedsandserviceexpectationsofthecharterschoollikelytoemergeamong
constituents,whatotherorganizationsarepositionedtomeettheseconstituentneeds?Considerthe
followingactivities:

126


Createopportunitiesforboarddirectorsto"meetthecustomer.Forexample,thecharterschool
boardcanscheduleanongoingseriesofschoolcommunityforumstoprovideboarddirectorswith
facetofaceopportunitiestolistentostudentsandparentstalkabouttheiremergingneeds.Thiswill
beparticularlyimportantforboarddirectorsfromthelargercommunitywhodonthavechildren
enrolledintheschool.
Tapstaffexperienceandknowledgeofstudentsandfamiliestodeepentheboard'sunderstandingof
emergingconstituentneeds.
Establishamarketingandplanninginformationsystemtosupplytheboardwithdatatosupportits
planninganddecisionmakingroles.

Summary
Thepracticesdescribedhereallreinforceeachother.Hereshowtousethemtotransformyour
charterschoolboard:

1. Characteristics.
Reviewthesevenattributesofvisionaryleaders.Usethesefactorsasa
checklisttoassessyourboard.Identifyareasthatneedimprovement.Considerthe
Visionary
BoardLeadershipAssessment
intheToolsSectionofChapter12onBoardAssessment.
2. Barriers.
Scrutinizethesevenbarrierstovisionaryboardleadership.Somewillbefamiliar.All
canbeovercome.Beginworknowtoremovethesebarriers.
3. Strategies.
Remember,aneffective,visionaryboardisbuiltonfivekeystrategiesthatlaythe
groundworkforboardandoverallcharterschooleffectivenessinthistimeofrapid,profound
change.

127

Chapter5:ToolsYouCanUse
SamplesOfFoundationDocuments
DescriptionofStrategicPlanningModel(Source:TheCenterforPublicSkillsTraining)
StrategicPlanningCommitteeDescription(Source:TheCenterforPublicSkillsTraining)

StrategicPlanningInformationGatheringWorksheets(Source:TheCenterforPublicSkills
Training)

CriticalIssueWorksheet(Source:TheCenterforPublicSkillsTraining)

Worksheet:ForemostCriticalIssuesFacingtheCharterSchool(Source:TheCenterforPublic
SkillsTraining)

SampleStrategicPlanningTimetable(Source:TheCenterforPublicSkillsTraining)
SampleStrategicPlanningTimetable(Source:IndependentSchoolAssociationoftheCentral
States)

EssentialResourcesforStrategicPlanning
Allison,Michael,andKaye,Jude,
StrategicPlanningforNonprofitOrganizations
,New
York:JohnWiley&Sons,Inc.,1997.(includesfloppydisk)
Barry,BryanW.,
StrategicPlanningWorkbookforNonprofitOrganizations
,
Revised
,
SaintPaul,Minnesota:AmherstH.WilderFoundation,1997.
Bryson,JohnM.,andAlston,FarnumK.,
CreatingandImplementingYourStrategic
Planning
,SanFrancisco:JosseyBassPublishers,1996.
Bryson,JohnM.,
StrategicPlanningforPublicandNonprofitOrganizations,Revised,
San
Francisco:JosseyBassPublishers,1995.
HundleyDeKuyper,Mary,
TrusteeHandbook:AGuidetoEffectiveGovernancefor
IndependentSchoolBoards
,NationalAssociationofIndependentSchools,1998.(Especially
Chapter4DevelopingaSharedVisionandPlanningStrategically)
McNamara,Carter,PhD,
FacilitatorsGuidetoNonprofitStrategicPlanning
,Minneapolis,
Minnesota:TheManagementAssistanceProgram,1997.
OConnor,Judith,
ThePlanningCommittee:ShapingYourFuture
,

NationalCenterfor
NonprofitBoards,1997.

128

StepsOfTheStrategicPlanningProcess

Step1:

Step2:

Step3:

Step4:

Step5:

Step6:

Step7:

InformationGatheringAndAnalysis
1aExternal
Assessment

1bMarket
Assessment

1cInternal
Assessment

IdentificationOfCriticalIssuesFacingTheCharterschool

DevelopmentOfAStrategicVisionStatementThatSetsFuture
DirectionForTheCharterschool

MissionStatementReview/Revision

DevelopmentOfStrategicGoals

DevelopmentOfStrategiesForEachGoal

(FormulatingObjectives(AnnualOperationalPlanningBased
OnTheStrategicPlan)

129

STEP1AEXTERNALASSESSMENT

Purposeofstep
:Toidentifyandassesschangesandtrendsintheworldaroundthecharterschoollikely
tohaveasignificantimpactonitoverthenext510years.Welookatpolitical,economic,
technological,social,lifestyle,demographic,competitive,schoolfinance,andbroaderphilanthropic
trends.Wethendeterminewhichchangesareopportunitiesforus(forexample,opportunitiestogrow)
andwhichcouldbethreatstousinsomeway(trendsthatcankeepusfrombeingsuccessful).Finally
weidentifyimplicationsforselectedchangesandtrendswaysthecharterschoolmightrespondtothe
opportunitiesandthreatsweidentify.Atthisearlystageoftheplanningprocess,sayingthatsomethingis
animplicationdoesnotrequirethecharterschooltoadoptthatcourseofaction.(Theexternal
assessmentissometimesreferredtoasenvironmentalscanning.

ExampleofExternalAssessmentFindings:

Trend
Implications
Increasedinterestinsupportingschoolreform Tapthisnewsourceoffundingforthecharter
andchangeeffortsbyfoundationsserving
school.
needsoflowincomechildrenandfamilies.
Increasedpovertyimpedeseducational
Providefamilysupportprogramstoaddress
achievement.
needsoflowincomefamilies
Proliferationofwebbasedlearningresources. Increaseinternetaccessforstaff,studentsand
parents.

STEP1BMARKETASSESSMENT

Purposeofstep
:Toidentifyandassesschangesintheneedsandperceptionsofthecharterschool's
marketsandconstituencies.Forthecharterschool,theseincludestudentsandtheirfamilies,donors,
volunteers,paidstaff,boarddirectors,collaborators,andcompetitors.

Themarketassessmentattemptstoanswerthefollowingquestions:

1.
Whoarethecharterschool'skeymarketsandconstituents(studentsandtheirfamilies
andothers)?
2.
Whataretheneeds,perceptions,andserviceexpectationsofeachmarket?
3.
Whataretheemergingmarkettrends?
4.
Whataretheimplicationsforthecharterschoolhowshouldthecharterschool
respondtothesechangesandtrendsinitsmarkets?

(Note:Marketorstakeholderassessmentdiffersfromexternalassessment.Externalassessmentfocuses
onbroaderchangesandtrendsinthecharterschoolsexternalenvironmentmarketassessmentfocuses
ontheemergingneedsofthecharterschoolkeyconstituencies,chieflychildrenandfamilies.)

130


ExamplesofMarketAssessmentFindings:

62%ofparentsofchildrenenrolledinthecharterschooldesirebeforeandafterschoolcarefor
theirchildren.
Twothirdsofschoolvolunteerssaytheywouldbewillingtogetinvolvedinfundraisingforthe
charterschoolbutwouldrequiretraining.

STEP1CINTERNALASSESSMENT

Purposeofstep
:Toassessinternalstructure,processandoperationsofthecharterschoolandbasedon
thisassessment,topinpointstrengthsandweaknesses.Areasexaminedincludecharterschoolpersonnel
(paidandvolunteer),fundraising,physicalfacilities,equipment,useoftechnology,location,financial
condition,management,boardgovernance,educationalprograms/productsandservices,markets,
marketposition,etc.

ExamplesofInternalStrengths:

Dedicationofteachingstaff.
SuccessforAllRootsandWingsreadingprogramisenthusiasticallysupportedbystaffand
parentsandappearstobeachievingdesiredoutcomes.

ExamplesofInternalWeaknesses:

Lackofinstructionaltechnology.
Lowlevelofparentinvolvement.
Lackofdiversityofteachingstaff.

STEP2CRITICALSTRATEGICISSUESAND
CHOICESFACINGTHECHARTERSCHOOL

Purposeofstep
:Toidentifycriticalstrategicissuesfacingthecharterschool.Criticalissuesare
fundamentalpolicyorprogramconcernsthatdefinethemostimportantsituationsandchoicesancharter
schoolfacesnowandinthefuture.Criticalissuescanreflectlongstandingproblemsinthecharter
school,thecommunityservedorrecenteventsthatareanticipatedtohaveasignificantimpactonthe
charterschooland/orcommunityserved.Criticalissuescanalsoreflectmajorshiftsinthinkingthat
challenge"businessasusual.Theselectionofissuesisimportantbecauseitdeterminesrangeof
decisionsthecharterschool'sleaderswillconsiderinthefuture.

Insomeinstances,thecharterschoolisalreadyawareofthecriticalissuesthatthestrategicplanning
processmusthelpitaddress.Inmostsituations,theplanningprocessparticipantsdiscerncritical
131


strategicissuesastheyworkontheexternal,marketandinternalassessments.

Indevelopingtheactualwordingofthecriticalissuestatements,it'shelpfultoreflectonthefollowing:

Theexternalchangesandtrendshavingthegreatestpositiveand/ornegativeimpactonthe
charterschool...Majorchangesandtrendsintheneeds,perceptionsandserviceexpectations
ofourmarketsandconstituencies...Internalstrengthsandweaknessesofthecharterschool
thatwillseemtohaveanimpactonourfuturesuccess...

ExamplesofCriticalIssues:

Howcanweaddressbarrierstolearningthatfacethepredominantlylowincomestudentbody
ofthecharterschool?
Howcanweexpandanddiversifyourrevenuebaseinordertosupportanticipatedgrowthof
thecharterschooloverthenext3years?
Howcanweattractandretainaskilled,dedicatedanddiverseteachingstaff?
Howcanwecontinuetoattractandretainstudentsasthetraditionaldistrictpublicschoolsbegin
toadoptinnovativepracticesofcharterschoolsintheregion?

STEP3STRATEGICVISION

Purposeofstep
:Todevelopastrategicvisionstatement.Thevisionstatementdescribeswhatwewant
thecharterschooltolooklikeinidealtermsinthefuturetheresultswewillbeachievingand
characteristicsthecharterschoolwillneedtopossessinordertoachievethoseresults.Thestrategic
visionstatementprovidesdirectionandinspirationforcharterschoolgoalsetting.

Throughthevisionstatement,thecharterschoolattemptstorespondtothechallengesandissues
expressedintheformofcriticalissues.

(
PLEASENOTE
:Althoughthewords"mission"and"vision"areusedinterchangeably,theyaredistinct
inanimportantway:Missiondescribes"generalpurpose"Visiondescribes"futuredirection.

ExamplesofVisionStatement:

GeorgeWashingtonCarverElementarySchool

OurvisionforGeorgeWashingtonCarverElementarySchoolisonewherechildrenareeducatedthrougha
collaborativeeffortamongparents,faculty,staff,students,andthecommunity.Ourschoolenvironmentencourages
childrentotakerisksandbecomecreativeproducerswithoutfearoffailure.Throughcooperationandaunityof
spirit,challengesbecomeopportunitieswhereachievementsarerecognizedandcelebrated.Thepotentialofall
childrentobecomeselfdirectedlifelonglearnerspermeatestheexpectationsoftheCarverfamily.

132


Coeurd'AleneHighSchool

Coeurd'AleneHighSchoolwillforgeanewandpowerfulmodelofeducation,ensuringabright
futureforitsstudents.Coeurd'AleneHighSchoolwillbeaplacewherestudentsaremotivatedto
learnwiththehelpofqualityinstructionandleadingedgetechnology.Studentswillgraduatewith
thek nowledgeandsk illstheyneedtocompeteandexcelinanincreasinglytechnologybased
world.Families,communitiesandeducatorswillcometogethertopreparek nowledgeablecitizens
fortheworldoftomorrow.Societywillbeenrichedaseveryonecontributestohisorherown
wellbeingandthatofothers.Coeurd'AleneHighSchoolcommitsitselftothisvisionforitsfuture
andthefutureofitsstudents

STEP4MISSION

Purposeofstep
:Todevelopacharterschoolmissionstatement.Themissionstatementisabroad
descriptionofwhatwedo,with/forwhomwedoit,ourdistinctivecompetence,andWHYwedoit
(ourultimateend).

Ifamissionstatementalreadyexists,thefocusofthisstepisonreviewingitinlightoftheemerging
visionstatementandifnecessaryrevisingthelanguage.Herearesomequestionsthatcanaidinthe
reviewofanalreadyexistingmissionstatement:

QuestionsforaCriticalReviewofanExistingMission
1.
Isthemissionstatementclearandontargetin
today's
operatingenvironment?
2.
Doyouhaveanyspecificquestionsorconcernswithrespecttothemissionstatement?
3.
Doesthemissionstatementduplicatethemissionofanyotherschool?Ifso,whatshouldwedo
aboutit?
4.
Consideringtheanswerstothesequestions,how,ifatall,shouldthemissionstatementbe
changed?

ExampleofMissionStatement:

MissionofEduPreneurshipStudentCenter,Scottsdale,AZ

EdPreneurshipisdedicatedtoprovidingchildrenwithaneducationthatwillenablethemtobesuccessfulin
today'scomplexsociety.Creatingalearningenvironmentthatisrelevant,active,andproductorientedtoensure
ourchildrenstayturnedonandtunedinisessentialtotheeducationprocess.Webelieveinpracticingthe
preceptsofaDemocraticsocietybystudentsholdingthemselvesaccountablefortheirownactions,thuspreparing
themtobegoodcitizens.

Formoreinformationincludingothermissionstatementsamples,goto:USCharterSchoolsWebsiteat
http://www.uscharterschools.org/tech_assist/ta_mission.htm
.

133

STEP5GOALS

Purposeofstep
:Todevelopstrategicgoalstatementsconsistentwiththevisionstatement.Strategic
goalsarebroadstatementsofwhatthecharterschoolhopestoachieveinthenext3years.Goalsfocus
onoutcomesorresultsandarequalitativeinnature.Oftengoalstatementsflowfromsomeofthecritical
issuestatementsdevelopedearlierintheplanningprocess.

ExamplesofGoals:

Forgepartnershipswithfamilyandyouthservingagenciestoovercomebarrierstolearningthat
faceourpredominantlylowincomestudentbody.
Expandanddiversifythecharterschoolrevenuebaseinordertosupportanticipatedgrowth.
Enhancetheeducationalprograminordertoretainourstudentbody.
Attractandretainaskilled,dedicatedanddiverseteachingstaff.

STEP6STRATEGIES

Purposeofstep
:Todevelopstrategiesforeachgoal.Strategiesarestatementsofmajorapproachor
methodforattaininggoalsandresolvingspecificissues.Ideasforstrategyemergefromtheearlier
internal,externalandmarketassessments,especiallythestrengthsandweaknessesidentifiedinthe
internalassessmentaswellastheimplicationsstatementsdevelopedaspartofthemarketandexternal
assessments.Astrategyisjudgedpotentiallyeffectiveifitdoesoneormoreofthefollowing:

1
Exploitsenvironmentalopportunities
2.
Defendsagainstenvironmentalthreats
3.
Leveragesorganizationalcompetencies
4.
Correctsorganizationalshortcomings
5.
Offerssomebasisforfuturecompetitiveadvantage
6.
Counteractsforceserodingcurrentcompetitiveposition

ExamplesOfStrategiesForSampleGoal:

SampleGoal1:Expandanddiversifythecharterschoolrevenuebaseinordertosupport
anticipatedgrowth.

Strategy1.1:Generaterevenuefromspecialevents.
Strategy1.2:Increasefundingfrompublicsources.
Strategy1.2:Expandindividualgivingfrommajordonors.

134

STEP7ANNUALOBJECTIVES

Purposeofstep
:Toformulateannualobjectivesconsistentwiththegoalsandstrategiesofthestrategic
plan.Objectivesarespecific,concrete,measurablestatementsofwhatwillbedonetoachieveagoal
generallywithinaoneyeartimeframe.Objectivesincludeanswerstothefollowingquestions:Who,will
accomplishwhat,bywhen.Putanotherway,objectivesshouldbe"SMART"
S
pecific,
M
easurable,
A
mbitiousbut
A
ttainable,
R
elevant(contributingtotheschool'svision),and
T
imebased(we'lldoX
overthenextYyears).

StrictlyspeakingannualobjectivesarenotpartoftheStrategicPlanofanorganization.Objectivesare
thecoreofthecharterschoolsAnnualOperationalPlanthatisbasedonthestrategicplanitself.The
planningprocesswillalsoaddressthecostsassociatedwithimplementingobjectives.Thisinformation
willbeutilizedinthedevelopmentofbudgets.

ExamplesofObjectivesForSampleStrategy:
SampleGoal1:Expandanddiversifythecharterschoolrevenuebaseinordertosupport
anticipatedgrowth.

SampleStrategy1.1:Generaterevenuefromspecialevents.

SampleObjective1.1.1:TheBoardwillestablishaFundDevelopment
Committeeconsistingofatleast8boardandnonboarddirectorsand
providetraininginspecialeventsfundraisingbyJuly1,2000.
SampleObjective1.1.2:TheFundDevelopmentCommitteewillgenerate
atleast$45,000fromnomorethan3specialeventsbyApril1,2001.

135

PlanningTerminology

MISSION>
"Forever"

STRATEGICVISION>
5yearsout

GOALS>
35years

STRATEGIES>
15years

OBJECTIVES>
1year

MISSION
: Broaddescriptionofwhatwedo,with/forwhomwedoit,our
distinctivecompetence,andWHYwedoit.

STRATEGICVISION
:
Describeswhatwewantthecharterschooltolooklikeinideal
termsinthefuturetheresultswewillbeachievingand
characteristicsthecharterschoolwillneedtopossessinorderto
achievethoseresults.Thestrategicvisionstatementprovides
directionandinspirationfororganizationalgoalsetting.

GOALS
:
Broadstatementsofwhatthecharterschoolhopestoachievein
thenext35years.Goalsfocusonoutcomesorresultsandare
qualitativeinnature.

STRATEGIES
:
Statementsofmajorapproachormethod(themeans)forattaining
broadgoalsandresolvingspecificissues.

OBJECTIVES
:
Specific,concrete,measurablestatementsofwhatwillbedoneto
achieveagoalgenerallywithinaoneyeartimeframe.

136

137

StrategicPlanningCommittee
GeneralPurpose

TheStrategicPlanningCommitteeiscommissionedby,andresponsibleto,theBoardofDirectorsto
assumetheresponsibilityforprovidingleadershiptotheboardintheareaofstrategicplanningandin
generalhelpingtheboardtoassurethatthestrategicplanofthecharterschoolremainscurrentandthat
satisfactoryprogressinbeingmadetosuccessfullyimplementthestrategicplan.

AppointmentsandComposition

1. AppointmentsoftheChairandmembersoftheStrategicPlanningCommitteeshallbemade
annuallybythePresidentoftheBoardwiththeadviceandconsentoftheBoardinaccordancewith
theBylaws.

2. TheChairofthisCommitteeshallbeamemberoftheBoardofDirectors.

3. MembersofthiscommitteeshallbemembersoftheBoardofDirectors,subjecttotheconditions
statedinthebylaws.Additionalcommitteemembersmaybeappointedandneednotbemembers
oftheBoardofDirectors,subjecttotheconditionsstatedinthebylaws.

Responsibilities

1. DevelopsatimelineforthestrategicplanningprocessincollaborationwiththeCharterSchool
Administrator.

2. OverseesthestrategicplanningprocessincollaborationwiththeCharterSchoolAdministrator.

3. Providesawrittenfinalstrategicplantotheboardforapproval.

4. Developsandsubmitstotheboardproceduresforconnectingthestrategicplantotheannual
workplansofboardcommittees.

5. Keepstheboardinformedoforganizationalandenvironmentalchangesandtrendsthatwillhavean
impactonthecharterschoolandthefamiliesandcommunityserved.

6. Annuallysubmitobjectivesaspartoftheplanningandbudgetingprocess.

7. Annuallyevaluateitsworkasacommitteeandtheobjectivesithascommitteditselftoandreporton
sametotheBoardofDirectors.

8. ReporttotheBoardofDirectorsonaregularbasisinamannerdeterminedbytheBoard.

138

MEMORANDUM

DATE:
TO:
BoardandStaffMembers
FROM:
ABCCharterSchoolPlanningCommittee
RE:
PreparationforStrategicPlanningSessions

Asyoumayknow,ABCCharterSchoolhasdecidedtoengageinastrategicplanningprocesstochartthe
futurecourseoftheorganization.Becausewewanttheprocesstobeasinclusiveaspossible,asafirststep
weneedthebenefitofyourthinkingonafewimportantquestions.
Completetheenclosedworksheets
andmailorfaxthemtotheofficenolaterthan[date]Mailingaddress:.FAX#xxxxxxx
.

EveryoneinvolvedwiththeABCCharterSchoolhasadifferentsetofskills,expertiseandfamiliarity
withtheoperationoftheorganizationandtheneedsandtrendswithinthecommunity.Pleaseanswerthe
questionsbasedonyourknowledgeandfamiliaritywiththeABCCharterSchoolandtheconstituency
weserve.Allresponseswillbehelpfulasweundertakethisimportantprocess.Therearefour
worksheetstofillout.Theyaredescribedbelow:

Part1:
First,wewantyoutoshareyourcurrentunderstandingofthemissionandvaluesofthe
organization.
Part2:
Next,we'dlikeyoutothinkaboutinternalstrengthsandweaknessesofthe
organization.
Part3:
Then,we'dlikeyoutoreflectonrecentandfutureexternalchangesandtrendslikelyto
haveasignificantimpactontheABCCharterSchoolovernext510years.Consider
organizational,political,economic,technological,social,demographic,technological,
andcompetitivetrends.Thenidentifypossibleresponsestothechangesandtrends
waystheABCCharterSchoolmightrespondtothem.
Hereisanexampleofatrend
andapossibleresponsetoit
:

TREND
POSSIBLERESPONSE
1.
Continuedincreaseinuseofemerging
1.
Developplansforappropriateuseof
communicationtechnologies.
technologytoenhancecommunication
andincreaseeducationalprogramimpact.

Part4:
Finally,we'dlikeyoutothinkaboutthechangingneedsofourvarious
constituents/stakeholdersandtheexpectationsforqualityservicetheyhaveoftheABC
CharterSchool.

Ifyouhaveanyquestions,pleasecallmeat555/5551212.Ilookforwardtoworkingwithyouduring
thenextseveralmonths.

139

YourName(Optional
):_________________________________

PART1:REVIEWOFMISSION&VALUES

INSTRUCTIONS
:
Aswebeginthestrategicplanningprocess,wewanttoassessyourcurrent
understandingofthemissionandorganizationalvaluesoftheABCCharterSchool.Pleasetakeafew
minutestoanswerthefollowingquestions.Responseswillbecompiledforreviewaspartoftheplanning
process.

1.
MISSION:TheMISSIONdescribeswhatwedo,with/forwhomwedoit,WHYwedo
it,andourspecialcompetence.MISSIONdescribesgeneralpurpose,"whyweexist.

Asyoupresentlyunderstandit,whatdoyouseeasthemissionoftheABCCharter
School?

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

2. ORGANIZATIONALVALUES:AVALUEisastandard,principle,orqualitythatis
consideredworthwhileinandofitself.Weseektoexpressourvaluesbywhatwedoin
everydaylife.Coreorganizationalvaluesdescribehowanorganizationwantstoactona
daytodaybasis.Someexamples:Teamwork,Caring,Qualityservice,
Innovation.ListthethreemostimportantorganizationalvaluesoftheABCCharter
School(whatyouthinkthevaluesshouldbe):

1.

2.

3.

140

141

PART2:INTERNALSTRENGTHS&WEAKNESSES

INSTRUCTIONS
:
Aswebeginourplanningprocess,wealsoneedtoidentifyinternalstrengthsand
weaknessesoftheABCCharterSchoolThinkabouttheorganizationalstructure,financialmanagement,
boardandleadershipdevelopment,facilitiesandequipment,useoftechnology,financialstability,office,
specialprogramsandservices,publicrelationsefforts,communityimage,etc.Thenlistthethree
strengthsandthreeweaknessesyoufeelaremostimportanttoconsiderinplanningforthefutureofthe
charterschool:

OUR3GREATESTSTRENGTHS:

1.

2.

3.

OUR3MOSTCRITICALWEAKNESSES:

1.

2.

3.

PLEASENOTE
:
Don'tconfuse"externalchangesandtrends"with"strengthsandweaknesses.An
InternalStrengthorWeaknessissomethingoverwhichtheCharterSchoolhasdirectcontrol(location,
staff,hours,policies,procedures,etc.).Ifyoucandosomethingaboutit,itisaninternalstrengthor
weakness.IfitisnotsomethingoverwhichtheCharterSchoolhascontrolifyoucan'tdosomething
aboutititisanExternalChangeorTrend(populationshifts,theeconomy,people'svaluesystem,
competition,employmentlevels,womenreturningtotheworkforce,etc.).

142

PART3:EXTERNALCHANGESANDTRENDS

INSTRUCTIONS
:
Intheleftcolumnbelow,listtherecentandfutureexternaltrendsandchangesthat
youthinkwillhavethegreatestimpactontheABCCharterSchooloverthenext510years.Inthe
rightcolumn,listpossibleorganizationalresponseswhattheorganizationcoulddooverthenextthree
tofiveyearstotakefulladvantageoftheexternalchangesandtrends?Consideractionsfor
programs/services,finances,organizationalstructure,etc.
(Pleaserefertothesampletrendand
organizationalresponseinthecovermemo.)

EXTERNALCHANGESAND
TRENDSTHATWILLHAVE
FUTUREIMPACT

1.

2.

3.

4.

5.

HOWABCCHARTERSCHOOL
COULDRESPONDTOSELECTED
TRENDS

1.

2.

3.

4.

5.

143

144

PART4:MARKETASSESSMENT

INSTRUCTIONS
:
Aspartofthepreparationforfutureplanningmeetings,wealsoneedtoanalyzethe
changingneedsandserviceexpectationsofourconstituentsandmajorstakeholders.
Completethese
questionstothebestofyourknowledge:

WhatdoourconstituentsthinkoftheABCCharterSchool(i.e.,
WhatistheirperceptionorimageoftheABCCharterSchool)?

ChildrenenrolledintheCharterSchool:

___________________________________________________________________________

___________________________________________________________________________

ParentsofChildrenenrolledintheCharterSchool:

___________________________________________________________________________

___________________________________________________________________________

DonorsandFunders:

___________________________________________________________________________

___________________________________________________________________________

CharterSchoolStaff:

___________________________________________________________________________

___________________________________________________________________________

CharterAuthorizingBody:

___________________________________________________________________________

___________________________________________________________________________

145

Whatarethemostimportantfutureneedsandservice
expectationsoftheABCCharterSchoolonthepartofour
constituents?

ChildrenenrolledintheCharterSchool:

1._________________________________________________________________________

2._________________________________________________________________________

ParentsofChildrenenrolledintheCharterSchool:

1._________________________________________________________________________

2._________________________________________________________________________

DonorsandFunders:

1._________________________________________________________________________

2._________________________________________________________________________

CharterSchoolStaff:

1._________________________________________________________________________

2._________________________________________________________________________

CharterAuthorizingBody:

1._________________________________________________________________________

2._________________________________________________________________________

146

ForthenewneedsandserviceexpectationsoftheABCCharter
Schoollikelytoemergeamongkeyconstituentsandstakeholders
overthenext35yearswhichyouidentifiedintheprevious
section,whatotherorganizationsorentitiesarepositionedto
meettheseconstituentneeds?

FutureNeed/serviceExpectation OrganizationorEntityPositioned
toMeetThisNeedintheFuture
1.

2.

3.

4.

5.

6.

7.

147

CoverLetterforM ailingtoKeyInformants

[date]

Dear_____,

TheABCCharterSchooliscurrentlyengagedinastrategicplanningprocessto
developfuturegoalsandstrategiesfortheCharterSchool.Inthecurrentplanning
process,weareattemptingtoforecastfuturechangesandtrendsthatmayaffect
ABCCharterSchoolandthestudents/familiesweserve.Partofthiseffortisa
seriesofinterviewswithpersonspossessingspecialexpertisesuchasyou.

Wewouldliketointerviewyouutilizingtheenclosedquestions.Pleasegivethem
someadvancethought.Youmaycompletethesurveyandfaxitbackanytime
before[date].Ourfaxnumberisxxxxxxx.Ifwedonothearfromyouby[date],a
memberofourplanningcommitteewillcallyoutoconductthesurveybyphone.

Whenthesurveyiscompleted,wewillbehappytoshareasummarywithyou.In
themeantime,ifyouhaveanyquestions,contact__________,Administratorat
xxxxxxx.

Thankyouinadvanceforyourassistanceinthisimportanteffort.

Sincerely,

______________,Chair
StrategicPlanningCommittee
ABCCharterSchool

148

ABCCharterSchoolStrategicPlanningProcess

SurveyQuestions

1. Whatarethechangesandtrendsthatwillhavethegreatest
impactontheABCCharterSchooloverthenext5years?In
theleftcolumnbelow,listthe3mostimportantexternal
changesandtrends.Intherightcolumn,listpossible
responseswhatwecoulddooverthenextthreetofiveyears
totakefulladvantageoftheexternalchangesandtrends?

ExternalChangesandTrendsThat HowWeCouldRespondtoSelected
WillHaveGreatestImpactonthe
ChangesandTrends
ABCCharterSchool

1
1

2
2

3
3

2. BasedonyourknowledgeoftheABCCharterSchoolandits
programs,whatis
your
perceptionorimageofthe
organization?
149

3. Inyouropinion,whatdoyouthinkthe
community's
perceptionoftheABCCharterSchoolis?(i.e.,Whatistheir
opinionorimageoftheABCCharterSchool)?

4. Doyouhaveanyothercommentsorsuggestionsthatwillaid
usinourplanningeffort?Areyouawareofanyresearch,
marketassessmentsorfuturetrendstudiesthatwouldbe
usefultousinourplanningefforts?

150

CriticalIssuesWorksheet

Criticalissuesarefundamentalpolicyorprogramconcernsthatdefinethemost
importantsituationsandchoicestheCharterSchool

facesnowandinthefuture.
Criticalissuescanreflect:
LongstandingproblemsintheCharterSchool,childrenandfamiliesservedor
recenteventswhichareanticipatedtohaveasignificantimpactontheCharter
Schooland/orpeopleserved
ImpedimentsthatmustbeovercomeinorderfortheCharterSchooltomeetits
goalsi.e.,problemstobesolvedor,
Watersheds/majorshiftsinthinkingthatcanchangethedirectionofan
organizationorthenatureofitsenvironmentandchallengebusinessasusual.

Generallytheseareissuesthatcannotberesolvedthroughaquickfix.The
selectionofissuesisimportantbecauseitdeterminestherangeofdecisionsand
strategieswewillconsiderinthefuture.

YourTask
:

ReflectonthefollowingMajorexternalchanges/trendshavingapositive
and/ornegativeimpactontheCharterSchoolandthechildren/families
served...CriticalinternalstrengthsandweaknessesoftheCharterSchool
thatwillhaveanimpactonourfuturesuccess...Majorperceptions,needs
andserviceexpectationsofkeyconstituencies/stakeholders...
Listwhatyoubelievearethe13
m ost
criticalissuesfacingtheCharter
Schooloverthenext35years.Trytowordyourstatementsintheformof
questions:

1.

2.

3.

151

ForemostStrategicChallengesFacingYWGCAduringits
Startup(Next12years)

TheYWCAGlobalCareerAcademyCharterSchoolinMilwaukee,WIusedthefollowingprocess
tohelptheBoardofDirectorsidentifycriticalstrategicissuesthatwouldbethefocusofthe
boardsworkduringthefirstyearofthecharterschoolsoperation.Thefirststepwasto
brainstormcriticalissuesandchallengesfacingtheschoolduringitsstartupphase.Theoriginal
listwasreducedtothesixmostcriticalissues.Next,foreachofthesemajorissues,board
directorswereaskedtoidentifyappropriaterolesfortheboardtoplayinaddressingeachissue.

Followingbelowisamemothatwenttotheboard.Onthenextpageistheworksheet
.

Date:January19,2000
To:YWGCABoardDirectors
From:MarieCrockett,ChiefProgramOfficer,YWCA
Re:CriticalIssuesFacingtheYWGlobalCareerAcademy(YWGCA)

Enclosedisaworksheetthatwe'dlikeyoutocompleteandreturnnolaterthan
February1st.Returnitbyfaxto5555555.

Thesixcriticalissueslistedintheleftcolumnweredevelopedfromthelistof
issuesthatwegeneratedatthelastmeetingoftheboard.Youwill
rememberthatwegeneratedalonglistofissuesfacingthecharterschool
andthensortedthemintobroadcategories.Indevelopingthewordingfor
themostcriticalissueineachcategory,weusedtheoriginalissuelistasa
startingpointinsomecases,usingverbatimwordingandanothercases
devisingnewwordinginanefforttocapturethemostpressingissue.

Itisourhopethatbyfocusingonthesecriticalissues,wecanorganizeourwork
formaximumimpactinthecomingyear.Yourresponsestotheworksheetwillbe
collatedandtheresultingsummarywillbesenttoyouinadvanceofournext
meetingscheduledforFebruary21st.

Ifyouhaveanyquestions,pleasegivemeacallat5555555.Ilookforwardto
continuingourimportantworktogether!

152

ForemostStrategicChallengesFacingYWGCAduringits
Startup(Next12years)
Foremoststrategicissuesand
challengesthattheYWGCA
willneedtoaddressduringthe
12yearstartupperiod
1. HowwilltheYWGCAachieve
andmaintainactiveparentaland
communityinvolvement?
2. HowwilltheYWGCAinsurethat
thecurriculumachievesthe
educationalresultsoutlinedinour
contract?
3. HowwilltheYWGCAattractand
retainsufficientenrollment?
4. HowwilltheYWGCAinsurethat
ithasasolid,stableresource
base?
5. HowwilltheYWGCAbuildits
credibilityandsuccessasa
qualityeducationaloptioninthe
CityofMilwaukee?
6. HowwilltheYWGCAattractand
retainaskilled,dedicatedand
diversestaff?

Whatroleswouldbe
appropriatefortheboardto
playinaddressingeachissue
listedinColumn1?

Whatresources
accesstohelpa
issue?

153

SampleStrategicPlanningTimetable
(Source:TheCenterforPublicSkillsTraining)

Aproposedtimetableoutlinesthespecificstepsoftheplanningprocess.Alsoincludedisareferenceto
thepersonand/orgroupresponsibleforeachstep.Theactualplanningcalendarwillbedeterminedby
theABCCharterSchoolStrategicPlanningCommittee.

1.

PREPARATIONFORPLANNING

a.

1stFORMALPLANNINGSESSION
:
Reviewtheplanningprocess,finalize
strategiesforinformationgatheringandanalysis,makeneededadjustmentsintimetable,
andsecureagreements.(
Responsible
:
StrategicPlanningCommittee)

b.

ConsiderexpansionoftheStrategicPlanningCommittee.(
Responsible
:
Strategic
PlanningCommittee)

c.

Orienttheboardandstafftothestrategicplanningprocess.(
Responsible
:
Strategic
PlanningCommittee,Staff,Facilitators)

2.

INFORMATIONGATHERINGANDASSESSMENT

a.

Gatherinformationforplanningprocessbymeansofassessmentworksheetsdistributed
toboardandstaffmembersaswellaskeyinformantinterviewing.Preparereport
summaries:SchoolAssessmentData,InternalAssessment(organizationalstrengthsand
weaknesses)ExternalAssessment(national,stateandlocaltrends)Market
Assessment(currentandemergingconstituentneeds,competitiveandcollaborative
environment).(
Responsible
:
StrategicPlanningCommittee,Staff,Facilitator)

3.

SITUATIONANALYSIS

a.

2ndFORMALPLANNINGSESSION
:
Reviewsummariesofinternal,externaland
marketassessmentsidentifycriticalissuesforthefuture.(
Responsible
:
Strategic
PlanningCommittee)

b.

Getfeedbackoncriticalissuestatementsfromotherstakeholders.(
Responsible
:
StrategicPlanningCommittee,Staff,Facilitator)

154

4.

DEVELOPMENTOFVISIONANDMISSIONSTATEMENTS
a.

3rdFORMALPLANNINGSESSION
:
Alldayplanningretreat.Developfirstdraft
ofastrategicvisionstatementthatsetsfuturedirection,andamissionstatementthat
expressesfundamentalpurpose.(
Responsible
:
StrategicPlanningCommittee)

5.

COMPLETIONOFFIRSTDRAFTSTRATEGICPLAN

a.

6.

4thFORMALPLANNINGSESSION
:
Reviewdraftvisionstatementdevelopedat
Boardretreat,developfirstdraftgoalsandstrategies.(
Responsible
:
Strategic
PlanningCommittee)

BOARD,STAKEHOLDERANDSTAFFREVIEWOFFIRST
DRAFT

a.

Distributefirstdraftofstrategicplanforreviewbyboarddirectors,keystakeholders
andstaffasappropriate.Solicitreactionsandsuggestedrevisionsfordraftplan.
(
Responsible
:
StaffandFacilitator)

b. 5thFORMALPLANNINGSESSION
:
StrategicPlanningCommitteereviews
commentsandmakeneededrevisionsdevelopsstrategicplanevaluationframeworkfor
useindevelopmentofoperationalplans.(
Responsible
:
StrategicPlanningCommittee,
Staff)

7.

BOARDREVIEWANDAPPROVALOFSTRATEGICPLAN

a.

6thFORMALPLANNINGSESSION
:
Finalboardmeetingtoreview/approve
strategicplan.(
Responsible
:
StrategicPlanningCommittee)

8.

DEVELOPMENTOFYEAR1OPERATIONALPLANNING
FRAMEWORK

a. 7thFORMALPLANNINGSESSION(S)
:
Aftertheboardapprovesthestrategicplan,
staffandboardcommitteeswillreviewevaluationframeworkforstrategicplananddevelop
operationalplanningframework.(
Responsible
:
CharterSchoolAdministrator,Board
CommitteeLeadership,StaffandFacilitator)

155

156

StrategicPlanning:TheISACSModel

(Source:PatrickF.Bassett,ExecutiveDirector,
IndependentSchoolsAssociationoftheCentralStates)

I.ReviewofMissionStatement:InstitutionalRecentering.

Boardassessment/revisionofmissionstatement:ISACSrecommendsamissionstatementinthree
forms:Theonepagerforofficialpublications(Mission/Philosophy/Goals)apithythreetofivepoint
formforshorthandreferenceandnewsreportsandtheschoolmotto/sloganversion(25wordsof
"whatwestandfor").Mostschoolsmakethefollowingdistinctions,resultinginthreeseparate
statements:Missionis"whyweexistandwhomweserve"Philosophyis"whatwebelieve"(aboutkids,
abouteducation)Goalsare"outcomes,whatwehopetoachieve."

II.SurveyofConstituents:NeedsAssessment"CustomerSatisfaction"Inventory."

The"ISACSSchoolSurvey"hasbeendevelopedtoservethreefunctions:schoolevaluation,marketing,
andstrategicplanning.Followuptosurveyincludesfocusgroup(alumni,parents,faculty)S.W.O.T.
analysis(strengths,weaknesses,opportunities,threats).

III.FormationofStrategicPlanningCommittee.

Keyplayersfromtrustees,faculty,parents,administrationnomorethan710people.Datagathering
(demographics,comparativedatareports,surveyresults,SWOTanalysisresults,fiveyearfinancial
projections,campusmasterplanreport,etc.).Identificationofupto8planningpriorities(e.g.,
admissions/marketinggovernancedevelopmentcurriculum/programfacilitiesfinancesalumni
parents/communityfaculty/humanresourcesdiversitytechnologyetc.Headprepares"whitepaper"on
administrationsthinkingoneachoftheplanningpriorities.

IV.StrategicPlanningRetreat.

Brainstorming:2535peopleBoard,StrategicPlanningCommittee,anyotherkeyplayersfor12
days.Priortoretreat,resultsofanypreliminarydatagatheringarecirculated.Retreat,ledbyastrategic
planningconsultantorfacilitator,focusesonthefollowing:
Recommitmenttomission&philosophystatements
Analysisofsurveyresultsandconsultantreports
Assessmentofexternalandinternalfactors("challengesandopportunities")thatcanimpactthe
school
Presentationofadministrations"whitepaper"assessmentsoftheplanningareas,informedby
outsideperspectivesfromtheconsultantandtheparticipantsintheretreat.
157


Settingofprioritygoals.
Scenariowriting:"visionstatement"andvariouspossiblescenariostoachievethevision.

V.ScenarioTesting:Buyin.

Sharingofvariousscenarioswithkeyconstituenciestotestthewaters,seewhatexcitespeople
scenariotestingeventsbecomeavitalstageincapitalcampaignconsciousnessraisingandinvolvement
ofpotentialdonors.

VI.RedraftingofStrategicPlan/ImplementationSchedule.

Finetuning.ScenariosrefineduntiloneischosenbyBoardtobedevelopedintoaStrategicPlanwith
thefollowingcomponents:Goals,Rationale,MethodsofImplementation,Timeline,Costs,Responsible
Party.

VII.AdoptionbyBoard:GoingPublic.

Internalandexternalmarketingoftheplantoalltheconstituenciesoftheschool.

VIII.YearlyGoalSettingforBoard&Head.

Evaluation/Updating:AttheannualevaluationsessionofBoardandofHead,agreedupongoalsbased
uponStrategicPlanningdocumentareset.

158

Chapter6:LegalAndFinancialResponsibilitiesOfCharter
SchoolBoards

CriticalBoardBuildingChallenge:Howdoesthecharterschoolboardcarryoutitslegaland
financialoversightresponsibilities?

PLEASENOTE:Allcharterschooldevelopersandoperatorsfacecomplexlegalissuesin
startingandrunningtheirschools.Asarelativelynewphenomenon,charterschoolsinvolve
legalrequirementsandresponsibilitieswhichnotonlydifferwidelyfromstatetostate,butwhich
mayalsochangeovertime.Theimportanceofcheckingwithyourstatedepartmentof
educationconcerningstatelawsandregulationscannotbeoveremphasized.Forassistancewith
generalpoliciesandpracticesrelatedtopersonnel,visit
http://www.uscharterschools.org/gb/personnel/.

Alsocheckwithyourstatecharterschoolresourcecenterorothertechnicalassistance
organizationinyourstatetodeterminewhichlawsandregulationsneedtobecompliedwithby
yourcharterschoolboard.Usesomecautioninmakinguseoftheinformationinthischapteras
wellaslinkstowebsitesandotherresources.Thematerialsavailableherearenotpresentedas
asubstituteforqualifiedlegalorfinancialcounsel.

Today,charterschools,atthecenterofschoolreformeffortsinAmerica,aresubjectedtointensepublic
scrutiny.Inaddition,powerfulforcesopposedtocharterschoolscontinuetoraisequestionsaboutthe
legitimacyofthemovement.Thismakesitevenmoreimportantforcharterschoolboardstopay
specialattentiontocarryingouttheirlegalandfinancialresponsibilities.

FoundationfortheBoardsLegalandFinancialResponsibilities

Boarddirectorsofthecharterschoolaretheethical,legalandfinancialstewardsoftheschool.Assuch,
theboardmustactivelyexerciseoversightfunctionsinfourgovernanceareas.Theseareasarelistedand
28
describedintheNationalAssociationofIndependentSchools'
TrusteeHandbook
below.Severalof
thesetopicsareaddressedinmoredetaillaterinthischapter.

1. CorporateLaw,InternalPoliciesAndProceduresAndContractsWithThirdParties.
This
areaincludes:

28

DeKuyper,MaryHundley,
TrusteeHandbook:AGuidetoEffectiveGovernanceforIndependentSchoolBoards
,
NationalAssociationofIndependentSchools,1998.

159

Thecharterschool'sarticlesofincorporationfiledwiththeSecretaryofStateinthestatewhere
theschooloperates.Thearticlessetforththeschoolspurpose,itslegalauthorityandany
limitationstoitspowers.Changestothearticlesneedtobefiledwiththestate.
Thebylawsofthecharterschoolwhicharetheproceduresbywhichtrusteesgoverntheschool
andanychangesareamendmentsmustbedoneinaccordancewithproceduresstatedinthe
bylaws.IntheToolsSectionofChapter4,thereisabylawschecklistandsamplebylaws.
Internalinstitutionalpolicieswhicharesetbytheboardtoassurethattheboard'sownactionsas
wellastheschool'soperationsareconductedappropriately.Chapter4ofthegovernance
guidebookaddressespolicydevelopment.
Contractsbetweentheschoolandthirdpartieswhicharebindinglegalagreements.Boards
needtohaveapolicythatexplicitlydelegatestheauthoritytosignthirdpartycontractstoafew
individuals.Foracharterschool,themostimportantsuchcontractisthecharteragreementwith
thecharterauthorizingbody.

2. Local,StateAndFederalLawsAndRegulations.
Everystateregulateseducationalinstitutions
andnonprofitorganizationsincludingcharterschools.Eachlocalityandstatelawisuniqueandsoit
iscriticalfortheboardtobeassuredthattheschoolisobeyingtheapplicablelawsandregulations.
Somecategoriesofstatutesthatmayapplytoyourcharterschoolinclude:

Nonprofitcorporationlaw.
Statecharterschoollaw.
Othereducationallicensingandregulations(e.g.,teachercertificationrequirements,regulations
pertainingtoservingchildrenwithspecialneeds,andrequiredstateassessments).
Charitablesolicitationlaws.
29
Stateandfederaltaxexemptions .
Healthandsafetycodes.
Lawsandregulationspertainingtotheconfidentialityofstudentrecords.
Openmeetinglaws.
Buildingcodesandzoningrestrictions.
RegulationspertainingtoFICAandincometaxwithholdingandthepaymentofemployment
taxes.
StateandfederalcharitableandvolunteerimmunitystatutesincludingthefederalVolunteer
ProtectionActof1997.Whilesuchstatutesprovidecertainprotectionstoindividualswho
serveasboardvolunteers,theselawsdonotprovidecompleteimmunitytononprofitcharitable
organizations,includingcharterschoolssoorganized.(TheVolunteerProtectionActis
addressedinmoredetaillaterinthischapter.)
Antidiscriminationlaws.
FairLaborStandardsAct.
EmploymentRetirementIncomeSecurityAct.

29

CharterschoolsthatareincorporatedasnonprofitorganizationswilltypicallyseekInternalRevenueService
determinationasacharitable,taxexemptorganizationunder501(c)(3)ofthefederaltaxcode.Thisstatusexemptsthe
schoolfrompaymentofsalestaxesandallowsdonorstoclaimataxdeductionforcontributionsmadetothecharter
school.

160


3. TheCharterSchool'sFinancialResources,FacilitiesAndEquipment.
Thisareaincludes:

Financialoversight,includingapprovalofannualoperatingandcapitalbudgets,longrange
financialplans,anddevelopmentoffinancialpolicies.
Investmentoversight,forexamplemonitoringtheinvestmentofthecharterschool'sendowment
fundandemployeeretirementfunds
Physicalassetsoversight,assuringthewellbeingofallthephysicalassetsofthecharterschool
suchasfacilities.
Independentauditofthecharterschoolsfinances,conductedannually.
Funddevelopmentandfundraising,assuringthatthereareplansinplaceandthatfundraising
andcharitablesolicitationisdoneincompliancewithapplicablelawsandregulations.(See
Chapter11formoreinformationabouttheboardsroleinfundraising.)

4. RiskManagement.
Thecharterschoolboardhasprimaryresponsibilityforthesurvivalofthe
charterschool.Theboardhasalegaldutytoconserveandprotecttheassetsofthecharterschool.
Riskmanagementisawaytominimizeuncertaintybyidentifyingrisksandtakingstepstomanage
them.Itinvolvesmuchmorethansimplypurchasinginsurance.Theboard'sroleinrisk
managementwillbeaddressedlaterinthischapter.

LegalResponsibilitiesofBoardDirectors

Underwellestablishedprinciplesofnonprofitcorporationlaw,aboarddirectormustmeetcertain
standardsofconductandattentionincarryingouthisorherresponsibilitiestotheorganization.Several
stateshavestatutesadoptingsomevariationoftheseduties,whichwouldbeusedincourttodetermine
whetheraboarddirectoractedimproperly.Thesestandardsareusuallydescribedasthedutyofcare,
30
thedutyofloyalty,andthedutyofobedience.

DUTYOFCARE
.Thedutyofcaredescribesthelevelofcompetencethatisexpectedofaboard
director,andiscommonlyexpressedasthedutyof"carethatanordinarilyprudentpersonwould
exerciseinalikepositionandundersimilarcircumstances."Thismeansthataboarddirectorowes
thedutytoexercisereasonablecarewhenheorshemakesadecisionasastewardofthecharter
school.

ToExercisetheProperDutyofCare:

1. ActiveParticipation.
Aboarddirectormustactivelyparticipateinthemanagementofthe
organizationincludingattendingmeetingsoftheboard,evaluatingreports,readingminutes,

Thissectiondrawsfromanumberofsourcesincluding:TheLegalObligationsofNonprofitBoards:AGuidebook
forBoardMembers.NationalCenterforNonprofitBoards,1997FiduciaryDutiesOfDirectorsOfCharitable
Organization,AGuideForBoardMembers,TheOfficeOfMinnesotaAttorneyGeneralMinnesotaCouncilfor
NonprofitsandAllAboard,EvangelicalLutheranChurchinAmerica.
30

161

2.

3.

4.
5.

6.

7.
8.
9.

reviewingtheperformanceofthecharterschooladministratorandsoon.Personswhodonot
havethetimetoparticipateasrequiredshouldnotagreetobeontheboard.
Committees.
Theboardmayestablishcommitteeshavingtheauthorityoftheboardandmay
relyoninformation,opinionsorreportsofthesecommittees.However,thecommitteesare
subjecttothedirectionandcontroloftheboard.Asaresult,boarddirectorsarestill
responsibleforthecommitteesandshouldperiodicallyscrutinizetheirwork.
BoardActions.
Aboarddirectorwhoispresentatameetingwhenanactionisapprovedby
theentireboardispresumedtohaveagreedtotheactionunlesstheboarddirectorobjectsto
themeetingbecauseitwasnotlawfullycalledorconvenedanddoesn'tparticipateinthe
meeting,orunlesstheboarddirectorvotesagainsttheactionortheboarddirectorisprohibited
fromvotingontheactionbecauseofaconflictofinterest.
MinutesofMeetings.
Writtenminutesshouldbetakenateveryboardmeeting.Theminutes
shouldaccuratelyreflecttheactionstakenatthemeeting.
BooksandRecords.
Aboarddirectorshouldhavegeneralknowledgeofthebooksand
recordsofthecharterschoolaswellasitsgeneraloperation.Thecharterschool'sarticles,
bylaws,accountingrecords,votingagreementsandminutesmustbemadeavailableto
interestedparties(forexample,parents,charterauthorizingbody)andboarddirectorswhowish
toinspectthemforaproperpurpose.
AccurateRecordKeeping.
Aboarddirectorshouldnotonlybefamiliarwiththecontentof
thebooksandrecords,butshouldalsoassurethatthecharterschool'srecordsandaccounts
areaccurate.Thismaymeantheboarddirectormusttakestepstorequireregularauditsbyan
independentcertifiedpublicaccountantiftheboardhasnotalreadydecidedtodoso.Atthe
veryleast,theboarddirectorshouldbeawareofwhatthefinancialrecordsdiscloseandtake
appropriateactiontomakesurethereareproperinternalcontrols.
TrustProperty.
Aboarddirectorhasthedutytoprotect,preserve,investandmanagethe
charterschool'scorporatepropertyandtodosoconsistentwithanydonorrestrictionsandlegal
requirements.Institutingproperinternalcontrolswillaidintheprotectionoftheassets.
Resources.
Aboarddirectormustassisttheorganizationinobtainingadequateresources.(The
fundraisingrolesandresponsibilitiesoftheboardarediscussedinChapter11.)
Investigations.
Aboarddirectorhasadutytoinvestigatewarningsorreportsofofficeror
employeetheftormismanagement.Insomesituationsaboarddirectormayhavetoreport
misconducttotheappropriateauthorities,suchasthepoliceortheAttorneyGeneral.Where
appropriate,aboarddirectorshouldconsultanattorneyorotherprofessionalforassistance.

Latersectionsofthischapteraddressfinancialoversightandriskmanagementinmoredetail.

Questionsforboardselfassessmentregardingdutyofcare:

Howwelldoesourboardfunctioninitsdutyofcareintermsofthefollowing?

Regularattendanceatboardmeetings.
Activeparticipationanddiscussionindecisionmaking.
Goodbusinessjudgment.
Financialintegrity.
162

Accountabilitytothe"ownersoftheschool"thosewhohaveastakeinthecharterschool
especiallystudentsandtheirfamilies,butalsoincludingstaff,volunteers,donors,andthe
widercommunityservedbytheschool.

DUTYOFLOYALTY
.Traditionally
,
nonprofitboarddirectorshaveanabsolutedutyofcomplete,
undividedloyaltytotheorganization.Thedutyofloyaltyisastandardoffaithfulnessaboard
directormustgiveundividedallegiancewhenmakingdecisionsaffectingthecharterschool.This
meansthatboarddirectorscanneverusetheirposition,orthecharterschool'sassets,or
informationobtainedasamemberforpersonalgainforthemselvesorforanymemberoftheir
family,butmustactinthebestinterestsofthecharterschool.Aboarddirectorshouldputthegood
ofthecharterschoolfirstandavoidengagingintransactionswiththeschoolfromwhichthedirector
willbenefit.

ToExercisetheDutyofLoyalty:

1. ConflictsofInterest.
Undercertaincircumstances,acontractortransactionbetweena
charterschoolthatisanonprofitcorporationanditsboarddirectorsoranorganizationinwhich
theboarddirectorhasamaterialfinancialinterestisacceptable.However,ifthetransactionis
challenged,theboarddirectorwillhavetheburdenofestablishingthatthecontractor
transactionwasfairandreasonable,thattherewasfulldisclosureoftheconflictandthatthe
contractortransactionwasapprovedbyotherboarddirectorsingoodfaith.Conflictsof
interestarefurtherdiscussedinalatersectionofthischapter.
2. WrittenPolicy.
Boardsshouldestablishawrittenpolicyonavoidingconflictsofinterest.See
theToolsSectionofthischapterforpolicysamples.
3. Loans.
Acharterschoolthatisanonprofitcorporationmaynotlendmoneytoaboarddirector
ortheboarddirectorsfamilymembersunlesstheloanorguaranteemayreasonablybe
expected,inthejudgmentoftheentireboard,tobenefitthecharterschool.
4. CorporateOpportunity.
Directorsofbusinessorganizationsareunderafiduciaryobligation
nottodivertacorporatebusinessopportunityfortheirpersonalgain.Aboarddirectorofa
charterschoolthatisanonprofitcorporationisalsosubjecttothisduty.Thisdutymeansthata
boarddirectormaynotengageinorbenefitfromabusinessopportunitythatisavailabletoand
suitableforthecharterschoolunlessthecharterschooldecidesnottoengageinthebusiness
opportunityandconflictsofinterestproceduresarefollowed.
5. InternalRevenueCode.
Otherprohibitionsrelatingtothedutyofloyaltyarespecifiedinthe
rulesoftheInternalRevenueCoderegardingselfdealing.
6. CompliancewithGoverningDocuments.
Boarddirectorshaveadutytofollowthecharter
school'sgoverningdocuments(articlesofincorporationandbylaws),tocarryoutthecharter
school'smissionandtoassurethatfundsareusedforlawfulpurposes.Also,boarddirectors
mustcomplywithotherstateandfederallawsthatrelatetothecharterschoolandthewayin
whichitconductsitsoperations.

QuestionsForBoardSelfAssessmentRegardingDutyOfLoyalty:

163

Whatmightdividedloyaltiesorconflictsofinterestlooklikeformembersofyourcharterschool
board?
Whatpoliciesdoesyourboardhavefordisclosureordealingwiththoseconflicts?
Doesyourboardunderstandtheimportanceofconfidentialityinitsdeliberations?
Doyourboarddirectorstrusteachotherenoughtochallengeanddisagree,askinghard
questionsbeforemakingdecisions?
Whendecisionsaremade,itistheloyaltyofyourboarddemonstratedbytheirpublicsupportof
thosedecisions,bothwithinthecharterschoolaswellastheoutsidecommunity?

DUTYOFOBEDIENCE
.
Thedutyofobediencerequiresboarddirectorstobefaithfultothecharter
school'smission.Theyarenotpermittedtoactinawaythatisinconsistentwiththecentralgoalsof
thecharterschool.Abasisforthisruleliesinthepublic'strustthatthecharterschoolwillmanage
publicfinancinganddonatedfundstofulfillthecharterschool'smission.

ToExerciseTheDutyofObedience:

1. StateandFederalStatutes.
Boarddirectorsshouldbefamiliarwithanumberofstateand
federalstatutesandlawsrelatingtocharterschools.Refertothelistearlierinthischapter.
Boarddirectorsshouldseetoitthattheircharterschool'sstatuswithstateandfederalagencies
isprotectedandthatnoactionsarebeingtakenthatwouldputthisstatusinjeopardy.
2. FilingRequirements.
Boarddirectorsmustcomplywithdeadlinesfortaxation,forfilingwith
theAttorneyGeneral,forregisteringwiththeSecretaryofState'sOffice,formakingsocial
securitypayments,forincometaxwithholding,andsoon.
3. GoverningDocuments.
Boarddirectorsshouldbefamiliarwiththeircharterschool's
governingdocumentsandshouldfollowtheprovisionsofthosedocuments.Boarddirectors
shouldbesurepropernoticeisgivenformeetings,thatregularmeetingsareheld,thatboard
directorsareproperlyappointedandthatthecharterschool'smissionisbeingaccomplished.
4. OutsideHelp.
Whereappropriate,boarddirectorsshouldobtainopinionsoflegalcounselor
accountants.

Questionsforboardselfassessmentregardingdutyofobedience:

Doyouknowunderwhatlaws,regulationsandrequirementsofthecharterschoolfunctions?
Howareyouanotherboarddirectorsprotectedagainstlegalliability?Istherean
indemnificationclauseinthecharterschoolbylaws?DoesthecharterschoolhaveDirectors
andOfficersinsurancecoverage?Areyouandotherboarddirectorsawareoftheirlegal
obligations?

FinancialOversightbytheBoardofDirectors

Thecharterschoolboardhastheultimateresponsibilityforthefinancialviabilityofthecharterschool.In
theearlystagesofacharterschool'sdevelopment,theboardmaybeinchargeofformulatingfinancial
policiesandmonitoringallmajorfinancialdecisions.Asthecharterschoolevolvesandmatures,the
164


boardwillneedtofocusmoreoncontrollingcosts,evaluatingthepoliticalandeconomicenvironment
withinwhichthecharterschooloperates,anddecidinghowthatenvironmentaffectsthecharterschool's
abilitytoachieveitsgoals.Thisfinancialoversightfunctionconsistsofthreemainresponsibilities.

First,theboardhastodeterminethefinancialgoalsofthecharterschoolandmonitormanagement's
progressinachievingthosegoals.Second,itneedstoestablishsoundfinancialpoliciesandmonitor
whetherthecharterschool'sactivitiesadheretothosepolicies.Third,theboardmustreviewthecharter
school'sfinancialcontrolsystemsinordertosafeguardtheresourcesoftheschool.Inaddition,most
organizationsarerequiredtocomplywithdonororgovernmentregulatoryprovisions.Tocomplywith
theseregulations,theboardshouldarrangeforafinancialaudittobeconductedbyalicensed
independentauditingfirmatleastannuallyorasotherwiserequired.Suchauditsmayberequiredbythe
charterschoolcontract.

Monitoringtheorganization'sfinancialposition.
Whiletheboard'sroleinhelpingtoincrease
revenuesiscriticaltothefinancialwellbeingofthecharterschool,theboardmustalsodeveloppolicies
forreducingorcontrollingthecostofeducationalprogramsandrelatedservices.Increasingthe
efficiencyofmanagementsystemsisonewaythatacharterschoolcanreducecostswhilemaintaining
thequalityoftheservicesitprovides.

Toprovideeffectivefinancialoversight,boardsoftencreatefinancecommitteemadeupofmembers
withexperienceinfinancialmanagement.AsampleroledescriptionfortheFinanceCommitteeis
includedintheToolsSectionofChapter10.Themembersofsuchacommitteeshouldknowtheproper
questionstoask,whatinformationtoreview,andhowtoanalyzeandusetheinformationtomake
financialdecisions.Ifthecharterschoolalsohasanumberoffamilysocialsupportprograms,or
programsfundedbydifferentrevenuesources,theboardmayneedtorevieweachoftheseprograms
individually.Inanycase,allfinancialinformationshouldbereviewedinthecontextoftheeducational
resultsachievedduringtheperiodunderreview.

Ateachboardmeeting,theboardwillneedtoreceivecertainfinancialreportsthatdetailthecharter
school'sincome,expenses,andanysurplusordeficit.Thereportsshouldhighlightanydeviationsfrom
thebudget,projectedrevenues,andanyactionsthecharterschooladministratoristakingtocorrect
thosedeviations.Theboardmustknowhowtoreviewandinterpretthreekeyfinancialdocuments:

Acashflowprojectionworksheet.
Thisworksheetusuallycoversa12monthperiodand
showsallanticipatedfinancialobligationsandexpectedcashrevenuesbasedontheexisting
workplanandbudget.Thisworksheethelpstorevealiftherewillbeanyperiodswhenfunds
willbeinsufficienttocoverexpenses.Theworksheetshouldbeupdatedeachmonthtoreflect
anychangesincashprojections.

Abalancesheet.
Thisreportshowsthefinancialpositionofthecharterschoolataparticular
pointintime.Itsummarizestheschool'sassets,liabilities(debtsorpayables),andreserves
(equityorfundbalance),whichtheboardcanusetoassessthefinancialstabilityofthe
organizationandtoseewhetheritsliabilitiescanbemet.

165

Anincomestatement.
Alsoknownasaprofitandlossstatement,thisreportpresentsan
analysisofthenetincomeordeficitofthecharterschooloveradefinedperiodoftime.The
boardcanusethisreporttoassesstheoverallfinancialperformanceofthecharterschoolby
comparingactualincomeandexpenditureswiththebudget.Itcanalsobeusedtocompare
currentincomeandexpenditureswiththoseofthepreviousyear.Usingthisinformation,the
boardcanadvisethecharterschooladministratortorevisebudgetsorworkplansortotake
actionstoreducecostsand/orseekadditionalrevenue

.
Capitalinvestmentsshouldalsobereviewedbytheboard.Sinceanycapitalinvestmentswillhave
longtermfinancialimplicationsthatwillaffecttheoperatingcostsofthecharterschool,thesepotential
acquisitionsshouldbescrutinizedtodeterminewhethertheyareconsistentwiththeorganization's
missionandstrategicplan,andwhethertheyarefinanciallysound.

Keepingyourboardwellinformed.
Thecharterschooladministratorshouldmakesurethatthe
board,ortheboard'sfinancecommittee,receivesthefollowinginformationonatleastaquarterlybasis:

Areportofrevenueandexpenses(incomestatement)comparedtothebudget,with
explanationsofanysignificantvariance
Acashflowprojectionupdate
Abalancesheetshowingthefinancialpositionoftheorganizationatthattime
Areportonthenumberofstudentscurrentlyenrolledcomparedwiththenumberprojected,and
comparedwiththenumberinsameperiodofthepreviousyear
Areportonfundraisingactivitiesandresults
Alistofcriticalissuesthatmightaffectthefinancialstabilityofthecharterschool.

Maintainingroleclarity.
Thecomplementaryfinancialmanagementandoversightrolesoftheboard,
31
FinanceCommitteeandcharterschooladministratoraresummarizedinthechartbelow:

AdaptedfromBoysandGirlsClubsofAmerica,
GovernanceReferenceGuide
,1999.

31

166

Board,CommitteeandStaffRolesinFinancialOversight

BoardsRole

FinanceCommittees
Role

Approvesabudgetthatreflects
thecharterschoolsgoalsand
boardpolicies

Revisesbudgetasneededand
makesrecommendations.

Approvestheformatand
frequencyoffinancialand
programmaticreports.

Recommendsformatforfinancial
andprogrammaticsummary
reportsforboardapproval.

Reviewsmonthlyorquarterly
financialstatements.

Reviewsmonthlyfinancial
statementswithcharterschool
administrator,schoolbusiness
manager,and/orCPA.

Ensuresadequatefinancial
controlsareinplaceandthat
financialreportsarein
accordancewithaccounting
practicesandapplicable
provisionsofthecharter
contract.
Reviewstheauditedfinancial
statements,managementletter,
andseniorstaffsresponse.

Reviewsaccountingandcontrol
policiesandmakes
recommendationsforchanges
andimprovements.

Approvescharterschools
investmentpoliciesandreviews
themannually.
Iswellinformedaboutthe
charterschoolsfinances.

Regularlyreviewsandmakes
recommendationsabout
investmentpolicies.
Coordinatesboardtrainingon
financialmatters.Actsas
liaisonbetweenfullboardand
charterschooladministratoron
financialmatters.

Reviewstheauditedfinancial
statements,managementletter,
andseniorstaffsresponsewith
administratorandauditor.

CharterSchool
AdministratorsRole
Preparesthebudgetand
presentsittotheFinance
Committeeorfullboardwith
backupinformation.
Makesrecommendationsfor
financialandprogrammatic
reportstotheboardassures
reportsincludeinformation
requiredbychartercontract.
Monitorsincomeandexpenses
onadailybasis.Prepares
financialandeducational
programreportsthatcanbe
comparedtothecharterschool
contract,budgetandprojected
activities.
Raisespolicyissuesand
providesinformationfor
standardaccountingpolicy
decisions.Carriesoutpolicies
establishedbythecharter
schoolboard.
Providesinformationandoffers
recommendationstoFinance
Committee.Ifnecessary,
respondstotheauditfirms
managementletter.
Providesadditionalinformation
andfinancialanalysisifneeded.
Providestrainingand
informationasrequested.

AvoidingConflictsofInterest

Whenthepersonalorprofessionalconcernsofaboarddirectororastaffmemberaffecthisorher
abilitytoputthewelfareofthecharterschoolbeforepersonalbenefit,aconflictofinterestexists.
Charterschoolboarddirectorsarelikelytobeaffiliatedwithotherorganizationsintheircommunities,
bothonaprofessionalandapersonalbasis,soitisnotunusualforactualorpotentialconflictofinterest
toarise.Whendirectorsareconfrontedwithanactualorapparentconflictofinterest,thereare
reasonablestepsthatthecharterschoolboardcantaketopreserveitsintegrity.Boarddirectorsneed
notbedisqualifiedfromtheboardsimplyduetoconflictsofinterest.Perhapsthemostimportantstepis
167


forboarddirectorstodiscloseinformationrelatedtothepossibilityofdualintereststoothersonthe
board.Minimally,thedirectorneedstoinformtheboardoftheimportantfactsanddetailsandmust
abstainfromvotingonthetransaction.Theseactionsshouldberecordedintheminutestodocumentthe
disclosure.Incasesofpotentialconflict,boardsshouldtakeextrastepstodocumentthatthedecisions
theymakeareinthebestinterestsofthecharterschool.Forexample,iftheboarddecidestopurchase
aparcelofpropertyinwhichanindividualboarddirectorhasanownershipinterest,theboardshould
documenthowthisparcelisthebestdealfortheschoolwhencomparedwithotherparcelsthatwere
considered.

DanielL.Kurtz,authorof
HowToManageConflictsOfInterest:AGuidebookForNonprofitBoards
,
32
offersthefollowingsuggestionsforstructuringaneffectiveconflictofinterestpolicy:

Selfmonitoringisthebestapproachtopreventingconflictofinterestsituations.Thecharterschool
boardshouldinstituteasystemofchecksandbalancestocircumventactualorpotentialconflictof
interest,beginningwithwelldefinedoperatingpoliciesonallmattersthatmightleadtoconflict.Most
important,createacarefullywrittenconflictofinterestpolicybasedontheneedsandcircumstancesof
theorganization.Askeachboardandstaffmembertoagreeinwritingtoupholdthepolicy.Aconflictof
interestpolicyshouldbereviewedregularlyaspartofboardselfassessment.

Apolicyonconflictofinteresthasthreeessentialelements:

FullDisclosure
.
Boarddirectorsandstaffmembersindecisionmakingrolesshouldmakeknown
theirconnectionswithgroupsdoingbusinesswiththeorganization.Thisinformationshouldbe
providedannually.

BoardDirectorAbstentionFromDiscussionAndVoting
.
Boarddirectorswhohaveanactual
orpotentialconflictofinterestshouldnotparticipateindiscussionsorvoteonmattersrelatedinany
waytomattersinvolvingtheareaofconflict.

StaffMemberAbstentionFromDecisionMaking.

Staffmemberswhohaveanactualor
potentialconflictshouldnotbesubstantivelyinvolvedindecisionmakingaffectingsuchtransactions.

Forasampleconflictofinterestpolicyanddisclosureform,seetheNationalCenterforNonprofit
Boardspublication,
HowtoManageConflictsofInterest:AGuideforNonprofitBoards
.Alsoseethe
ToolsSectionofthischapterforothersampleconflictofinterestpolicies.

32

Kurtz,DanielL.
HowToManageConflictsOfInterest:AGuidebookForNonprofitBoards
,NationalCenterfor
NonprofitBoards,1995.

168

RiskM anagement

Asmentionedatthebeginningofthischapter,riskmanagementisawaytominimizeuncertaintyby
identifyingrealandpotentialrisksfacingthecharterschoolandtakingstepstomanagethem.The
33
structureoftheriskmanagementprocessconsistsofthefollowingfivesteps:

1. Identifyingpotentialrisks.Becauserisksconstantlychange,theidentificationstepmustbe
repeatedperiodically.Inaddition,tobemosteffective,riskidentificationmustbeintegrated
intoeverythingtheboardandcharterschooldoesandnotconsideredonlyinrelationto
insurance.
2. Analyzetheidentifiedrisks.Analysisofariskshouldincludespecificationofwhatmakesan
activityorconditionriskyforthecharterschool.
3. Selectthemostsuitabletechniquesforeliminatingorreducingidentifiedrisks.Theboardcan
choosefromamonganumberofriskmanagementtechniques.
4. Implementtheselectedtechniques.Theboardplaysacrucialrolehereincommunicatingthe
importanceofriskmanagementtoeveryoneinthecharterschoolfromtheadministratortothe
occasionalvolunteer.
5. Monitortheeffectivenessofthetechniquesandmodifythemasneeded

TheNationalAssociationofIndependentSchoolshasdevelopedariskmanagementchecklistthatcan
34
serveasaguideforthecharterschoolboard. Ithasbeenslightlymodified:

Doesthecharterschoolhaveaclearmissionstatement?
Isthereacrisismanagementplaninplace?
Doesthecharterschoolhaveadequateinsurance?(Thecharterschoolcontractwillgenerally
mandateminimumlevelsofinsurancecoveragetobecarriedbythecharterschool)
Generalliabilityinsurance.
Directorsandofficersliabilityinsurance.

Doestheboardhavewrittenpoliciesintheareasof:
Bloodbornepathogens.
Conflictofinterest,withformssignedbytrusteesandadministratorsacknowledgingthe
policyandidentifyingpotentialconflicts.
Personnelhiring,evaluation,termination.
Studentcodeofconduct,anddisciplineprocedures.
Athleticsafety.
Useofschoolbulletinboards.
Offcampustrips(andadultsupervisionof).
Utilizationofschoolbuildingsandgroundsbytheschoolcommunityandoutsiders.
Bidsrequiredforcontractsforgoodsandservices.
33

Babcock,GeorgeandTremper,Charles,
TheNonprofitBoardsRoleinRiskManagement:MoreThanBuying
Insurance
,NationalCenterforNonprofitBoards,1990.
34
DeKuyper,MaryHundley,
TrusteeHandbook:AGuidetoEffectiveGovernanceforIndependentSchoolBoards
,
NationalAssociationofIndependentSchools,1998.

169

Financialmanagementespeciallychecksandbalances.
Investmentpolicies.
Admissionsandenrollment.
Acceptanceofgiftsanddonations.

Doesthecharterschoolhaveasystemtoreviewpoliciesperiodicallybothinternallyandwith
outsidelegal/professionalassistanceasneeded?
Arethebylawsuptodateanddotheycomplywithallapplicablelawsandregulations?
Doesthecharterschoolhaveastrategicplanthathasmeasurableactionplans?
Doesthecharterschoolhaveathreetofiveyearfinancialplan?
Doesthecharterschoolhavebondsforthosepaidstaffandvolunteerswhohandlemoney?
Dopublicationsandallelectronicmediaaccuratelyportraytheschool,especiallyitsadmission
policies,programsandfacilities?
Addothersasappropriate.

(Note:Manyoftheitemsinthisriskmanagementchecklistwillbemandatedbytheapplicablestate
charterschoollegislation,and/orrequiredbythecharterschoolauthorizingbodyinthecharterschool
application,andthecharterschoolcontractitself)

Followingisaveryusefulchartlistingsomeofthecommonrisksofoperatingthecharterschool.The
chartisincludedin
TheNonprofitBoardsRoleinRiskManagement:MoreThanBuyingInsurance
by
35
CharlesTremperandGeorgeBabcock. Foreachtypeofrisk,theboardneedstorespondby
assessinghowtheriskisbestmanaged.Riskreductionthroughtrainingandprudentconductisgenerally
themosteffectivestrategies.Becauseinsurancemayalsobeneededtoprotectthecharterschooland
everyoneassociatedinitfromriskthatcannotbereduced,thelistidentifiesthetypeofinsurancethat
wouldusuallycoveraparticularrisk.Sincepoliciesdiffergreatly,thecharterschoolshouldseekthe
adviceofaninsuranceprofessional.

35

Babcock,GeorgeandTremper,Charles,
TheNonprofitBoardsRoleinRiskManagement:MoreThanBuying
Insurance
,NationalCenterforNonprofitBoards,1990.

170

ComponentOf
Organization
Board

Services

Employees

Volunteers
Transportation.
Money.
FundRaising.

SourcesOfRisk

TypeOfInsurance

SelfDealing.TaxPenalties.
DirectorsAndOfficers
ExecutiveDecisions.
(D&0).
Regulations.FiduciaryDuties. AssociationProfessional
LiabilityInsurance(APLI)
CommonTorts(Negligence). GeneralLiability(GL).
Malpractice.
ErrorsAndOmissions
(E&0).ProfessionalLiability
(Malpractice).
Injury.Wrongful
WorkersCompensation.
Termination.CivilRights.
D&0.APLI.SomeGL
Policies.
Injury.
Volunteer.APLI.
Accidents.
Auto.NonOwnedAuto.
Theft.Embezzlement.
Property.Bond.
Various.
SpecialtyCoverages.

36
ImplicationsOfVolunteerProtectionActOf1997
TheVolunteerProtectionActof1997removesvolunteersfromliabilityifthevolunteercommitted
negligentactsoromissionswhileactingwithinthescopeofhisorherresponsibilities.Thebilldoesnot
protectvolunteersiftheactoromissionwascausedbywillfulorcriminalmisconduct,grossnegligence,
recklessmisconduct,oraconscious,flagrantindifferencetotherightsorsafetyoftheindividualharmed
bythevolunteer.Itdoesnotcoverthevolunteerwhenharmwascausedbyavolunteeroperatinga
motorvehicle,vessel,aircraft,orothervehicleforwhichthestaterequirestheoperatororownerto
possessalicenseormaintaininsurance.Ifrequiredbythestate,thevolunteermusthavebeenproperly
licensedorcertifiedfortheactivitiesinquestion.Thebillpreemptsanyinconsistentstatelawonthis
issue,exceptthatthestatesmayprovideadditionalprotectionfromliabilityrelatingtovolunteers.

Thebillallowsthestatesto"optout"ofbeingcoveredbythislawaslongasthestateenactsastatute
citingtheauthorityofthefederallawanddeclaringtheelectionofthestatethattheactwillnotapply.
Statesarealsoallowedtorequirenonprofitorganizationstoadheretoriskmanagementprocedures,
includingmandatorytrainingofvolunteers.Statesmaymaketheorganizationliablefortheactsor
omissionsofitsvolunteerstothesameextentthatorganizationsareliableforactionsoromissionsof
agentsoremployees.Thereareexceptions:Thelimitationonliabilityshallnotapplytoanymisconduct
thatconstitutesacrimeofviolence,constitutesahatecrime,involvesasexualoffense,involves
misconductforwhichthedefendanthasbeenfoundtohaveviolatedafederalorstatecivilrightslaw,
wherethedefendantwasundertheinfluenceofintoxicatingalcoholoranydrugatthetimeofthe
37
misconduct.

ThisfederallegislationwasenactedintolawJune18,1997,PublicLaw10519.
IndependentSchoolsAssociationoftheCentralStates,VolunteerProtectionActof1997:AnAnalysis,1997.

36
37

171


Volunteersfororganizationsexemptfromfederalincometaxundersection501(c)(3)areclearly
coveredbythelaw.Othernonprofitorganizationsarementionedinthelawslegislativehistory.Itis
importanttonotethattheactdoesnotprotecttheorganizationsthemselveswhichstillmaybeheldliable
fortheactsoftheirvolunteers.Moreover,whilethelawprotectsavolunteerforpersonalliabilityin
situationscoveredbythestatute,itdoesnotprotectthevolunteerfrombeingnamedasadefendantina
lawsuit.Ultimately,thecourtswilldeterminehowtolawisappliedinspecificcircumstances.
Meanwhile,boarddirectorsshouldcontinuetobecoveredbyadirectorsandofficers(D&O)insurance
38
policy.

Onceagain,itissuggestedthatyoucheckwithyourstatecharterschoolresourcecenter,othertechnical
assistanceorganizationinyourstate,orqualifiedlegalorfinancialcounseltoassesstheliabilityof
volunteersservingonyourcharterschoolboard.

39
SpecialEducation
Legalresponsibilitiesrelatingtospecialeducationdeservethecharterschoolboardsfocusedattention.
Eventhoughitisanindependentpublicschool,thecharterschoolisnotentirelyseparateandonits
own.Itneedstocomplywithapplicablefederalandstateeducationlawsespeciallythosepertainingto
specialeducation.

Alonghistoryofexclusionofchildrenwithdisabilitiesfromapubliceducationmadeitnecessaryto
provideameansforensuringtheavailabilityofafreeandappropriateeducation,includingapplicable
dueprocessandproceduralsafeguards.Thelawsandregulationsnowinplaceweredesignedto
protectthechildrenandtheirparents,andalsoprovideaguideforensuringthattheeducationis
individuallydesignedandappropriatetotheneedsofeachchildwithadisability.

Thishasmeantthateducatorsmustbeawareofthelawandthemanyprovisionsoutlinedinthelaw.For
manycharterschoolpersonnel,thisisnewterritory.Theymustestablishasystemforeducatingall
students,regardlessofdisabilitystatus,intheirschool,oftenwithouttheassistanceofalarger,
experiencedspecialeducationdepartment.

Isthecharterschoollegallyliableforprovisionofspecialeducationservicestochildrenenrolledinthe
charterschool?Insomestates,charterschoolsarelegallyautonomousentities,whileinotherstatesthey
arenot.Charterschoolsneedtounderstandtheimplicationsoftheirlegalstatus,especiallyhowtheir
statusrelatestoissuesthatmightariseforspecialeducation.

Membersofthecharterschoolboardneedasolidgroundinginwhatitmeanstobeincompliancewith
specialeducationlaws.Theboarddevelopmentcommitteeworkingcloselywiththecharterschool
administratorshouldidentifybasicelementsofspecialeducationlawthatneedtobereferencedinthe
boardorientationandinongoingtrainingprogramsforboarddirectors.
38

Leifer,JacquelineC.,Glomb,MichaelB.,
TheLegalObligationsofNonprofitBoards:aGuidebookforBoard
Members
,NationalCenterforNonprofitBoards,1997.
39
TheinformationinthissectionwasderivedfromvarioussourcesincludinginterviewswithEileenAhearn,Project
Director,NationalAssociationofStateDepartmentsofSpecialEducation,Washington,DCandBethGiovannetti,of
SchoolChoiceOptionsinWashington,DC.

172

TheCharterFriendsNationalNetwork,aspartofanongoingspecialeducationinitiative,willbe
providingastatebystatespecialeducationanalysisthatwillbeagoodsourceofinformationforcharter
schoolboarddirectorswishingtotakeacloserlookatthespecialeducationguidelinesandpracticesin
theirstate.ThisinformationwillbeavailableontheCharterFriendswebsiteat
http://www.charterfriends.org.

Charterschoolboardsshouldbeawareofgeneralinformationregardingspecialeducationincluding:

Charterschools,likeregularpublicschools,mustservestudentswithdisabilities.

TheIndividualswithDisabilitiesEducationAct(IDEA)isthefederallawthatdictateswhatschools
mustdoonbehalfofstudentswithdisabilities.Otherfederallawsthatoutlinecharterschools
responsibilitytodisabledstudentsincludeSection504oftheRehabilitationActionof1973andthe
AmericanswithDisabilitiesAct(ADA).Inaddition,somestateshaveadoptedrequirementsthatgo
beyondthefederallawsoitisimportantthatallapplicablelawsandregulationsareconsidered.

CharterschoolsmaybetheirownLocalEducationAgency(LEA)orpartoftheirdistrictfor
SpecialEducationpurposes.LEAstatusdictateswhoisresponsiblefortheprovisionofprograms
andservicesforstudentswithdisabilitiesandhowfundingflows.Thisstatusdependsuponthe
charterlawineachstate.

Charterschoolsreceiveasmallamountoffundingfromthefederallevelbutthebulkofthefunding
forspecialeducationprogramscomesfromthestatelevel.Anunderstandingbytheboardofhow
fundingflowsintheirstateiscritical.

Charterschoolsinsomestatesarecreatingnewwaystoservechildrenwithdisabilities.For
example,inWashington,D.C.,aspecialeducationconsortiumisbeingorganizedtoprovide
informationandassistancetocharterschoolsonspecialeducationandtonegotiatefavorablerates
withtheprovidersofspecialeducationservices.Suchapproachesmayprovidewaysforyour
charterschoolmeetitsobligationstochildrenwithspecialneeds.

Servingstudentswithdisabilitiesisacriticalelementofthetotaleducationprocess.Itisalegal
obligationthat,ifignored,couldleadtosubstantiallegalliabilityforcharterschools.

AccordingtoCherylM.Lange,authorof
CharterSchoolsAndSpecialEducation:AHandbook
,some
oftheissuesneedingtobeaddressedbycharterschoolsintheimplementationofspecialeducation
include:

1. Whatisthephilosophyoftheschooltowardstudentswithdisabilities?
2. Howwillstaffidentifyandservestudentswithspecialneeds?
3. Whoisresponsibleforservingstudentswithdisabilities?
4. Whatstepsmustcharterschoolstaketoensurethatappropriateservicesareprovidedto
studentswithlowincidencedisabilities?
173


5. Whopaysfortheservices?
Howwilltransportationneedsbemet?
6. Whatpersonnelcertificationandlicensureissuesneedtobeconsidered?
7. Cancharterschoolsserveonlystudentswithspecialneeds?
8. Cancharterschoolsreceivewaiversforcertainspecialeducationrequirements?
9. Whatifthecharterschoolhasindividualizedlearningplansforallstudents:Dotheystillneedto
completeanIEP(theindividualeducationplanrequiredbyfederalspecialeducationlaw)?
10. Whatiftheschoolisnotanappropriateplacementforachildwithadisability?
11. Whatifthechild'sspecialeducationneedschangeafterenrollment?

Themainmessagetoboarddirectorsisthattheirschoolshaveanobligationtoservestudentswith
disabilities.Boardshavearesponsibilitytoensurethatschoolsreceivethefunding,informationand
supportsystemstocreatespecialeducationprogramsandservices.Boarddirectorsneedabasic
knowledgeofspecialeducation.Theboardcanrelyoncharterschoolstafftoknowthedetailsofthe
lawandwhatitwilltakeinorderforthecharterschooltobeincompliance.However,itistheboards
responsibilitytoensurethatthestaffhasaccesstotheinformationandresourcesnecessaryforthemto
meettheneedsofstudentswithdisabilities.

40
ThefollowingrecommendationsandsuggestionsforcharterschoolpersonnelareofferedbyLange :

1. Considerspecialeducationandthecharterschool'sphilosophicalorientationandmissionin
relationshiptostaffing,servicedelivery,inclusionpractices,etc.whenwritingtheproposalor
planningtheschool'sgoalsandobjectives.

2. Outlinespecialeducationpoliciespriortoopeningtheschool.

3. Contactstateeducationagencypersonnelandaskaboutallaspectsofspecialeducation,
especiallythestatecharterschoolandspecialeducationlaws.
4. Determinehowspecialeducationfundingworksearlyintheprocessofdevelopingthe
charterschooltoavoiddelaysinreceiptoffundsduetolackofinformation.
5. Determinewhowillprovidespecialeducationservicespriortoopeningtheschool.For
aschoolalreadyinoperation,promptinvestigationofthisissueisessential.
6. Considerusinganoutsideconsultantorhiringastaffpersontoassistinsettingup
evaluationteams,procedures,andfinancialreimbursements.
7. Beconsistentinthedeliveryofeducationalservicesforallstudentsandbeinnovativeinspecial
educationalso.Thelawsdonotprescribespecificservicedeliverystrategiesnordothey
precludenewwaysofservicedelivery

Lange,CherylM.,
CharterSchoolsAndSpecialEducation:AHandbook
.

40

174

Chapter6:ToolsYouCanUse
SamplesOfFoundationDocuments

ConflictofInterestPolicySamples(MultipleSources:NationalAssociationofIndependent
Schools,CarverGovernanceDesignsInc.,ManagementAssistanceProgramforNonprofits).
BoardMemberAnnualDisclosureStatementConcerningPossibleConflictOfInterest(Source:
MinnesotaCouncilofNonprofits).
SampleBoardConfidentialityPolicy(Source:AdaptedfromBoardOrientationManual
publishedbyAspenPublishers).
SampleBoardLiabilityQuestionnaire(Source:AdaptedfromBoardOrientationManual
publishedbyAspenPublishers).

EssentialResourcesforUnderstandingBoardLegalandFinancial
Issues
Babcock,GeorgeandTremper,Charles,
TheNonprofitBoardsRoleinRiskManagement:
MoreThanBuyingInsurance
,NationalCenterforNonprofitBoards,1990.
Dalsimer,JohnPaul,
UnderstandingNonprofitFinancialStatements:APrimerforBoard
Members
,NationalCenterforNonprofitBoards,1996.
DeKuyper,MaryHundley,
TrusteeHandbook:AGuidetoEffectiveGovernancefor
IndependentSchoolBoards
,NationalAssociationofIndependentSchools,1998.
Gardner,

Laurie,
CharterSchoolGovernanceToolkit
,FirstEdition,CharterSchools
DevelopmentCenter,1999.
Herman,MelanieL.,andWhite,LeslieT.,
LeavingNothingtoChance:AchievingBoard
AccountabilitythroughRiskManagement
,NationalCenterforNonprofitBoardsandNonprofit
RiskManagementCenter,1999.
Johnson,SandraL.,
TheAuditCommittee:KeytoFinancialAccountabilityinNonprofit
Organizations
,TheNationalCenterforNonprofitBoards,1995.
Kurtz,DanielL.,
HowtoManageConflictofInterest:aGuideforNonprofitBoards
,National
CenterforNonprofitBoards,1995.
Lange,CherylM.,
CharterSchoolsAndSpecialEducation:AHandbook.
Goto:
http://www.uscharterschools.org/cs/uscsp/query/q/112?topic=24&xtitle=Resources+on+Speci
al+Education
Leifer,JacquelineC.,Glomb,MichaelB.,
TheLegalObligationsofNonprofitBoards:A
GuidebookforBoardMembers
,NationalCenterforNonprofitBoards,1997.
USCharterSchoolsWebsite
containslegalissuespageandlinkstootherresourcesandsample
documentsathttp://www.uscharterschools.org/pub/uscs_docs/ta/legal.htm
USDepartmentofEducationWebsite
containsadditionalinformationandresourcesonspecial
educationat
http://www.ed.gov/offices/OSERS/IDEA/
.

175

SampleConflictofInterestStatementsforBoardofDirectors

41
Sample#1(Source:NationalAssociationofIndependentSchools)

ConflictofInterestStatementforBoardofTrustees

TheBoardofTrusteesisappointed/electedtoserve(nameofschool)anditsconstituencies.Themen
andwomenwhoacceptthispositionareexpectedtocarryouttheirdutiesinamannerthatinspiresand
assurestheconfidenceoftheschoolandthebroadercommunity.

Thetrusteesshallexercisetheutmostgoodfaithinalltransactionstouchingupontheirdutiestothe
charterschoolanditsproperty.Intheirdealingswithandonbehalfoftheschool,theyareheldtoa
strictruleofhonestandfairdealingbetweenthemselvesandtheschool.Theyshallnotusetheir
positionsastrustees,orknowledgegainedtherefrom,sothataconflictmightarisebetweentheschool's
interestandthatofanyindividualtrustee.

Aconflictofinterestarisesinanysituationinwhichatrustee(andhisorherimmediatefamily)is
involvedinanactivitythatcouldadverselyaffecthisorherjudgmentwithrespecttothebusinessofthe
schoolorotherwisediminishtheinterestoftheschool.Whensuchaconflictarises,theindividualwitha
conflictisexpectedtodiscloseinwritingtheexistenceoftheconflict.

42
Sample#2(Source:CarverGovernanceDesign,Inc.)
2060KingdomDrive,Columbus,IN,47201)

JohnCarversuggeststhefollowingDirectors'CodeofConduct

thatincludesinformationregarding
conflictofinterest:

Dire ctors'Code ofConduct

Theboardexpectsofitselfanditsmembersethicalandbusinesslikeconduct.Thiscommitmentincludes
properuseofauthorityandappropriatedecorumingroupandindividualbehaviorwhenactingas
directors.

1. Directorsmustrepresentunconflictedloyaltytotheinterestsoftheownership.Thisaccountability
supersedesanyconflictingloyaltysuchasthattoadvocacyorinterestgroupsandmembershipon
otherboardsorstaffs.Thisaccountabilitysupersedesthepersonalinterestofanydirectoractingas
anindividualconsumerofthisagency'sservices.

41

DeKuyper,MaryHundley,
TrusteeHandbook:AGuidetoEffectiveGovernanceforIndependentSchoolBoards
,
NationalAssociationofIndependentSchools,1998.
42

CarverGovernanceDesign,Inc.,2060KingdomDrive,Columbus,IN,47201.

176


2. Directorsmustavoidanyconflictofinterestwithrespecttotheirfiduciaryresponsibility.Theremust
benoselfdealingoranyconductofprivatebusinessorpersonalservicesbetweenanydirectorand
theagencyexceptasprocedurallycontrolledtoassureopenness,competitiveopportunityandequal
accesstootherwiseinsideinformation.Directorsmustnotusetheirpositionstoobtainfor
themselvesorfortheirfamilymembersemploymentwithintheagency.Shouldadirectorbe
consideredforemployment,s/hemusttemporarilywithdrawfromboarddeliberation,votingand
accesstoapplicableboardinformation.
3. Directorsmaynotattempttoexerciseindividualauthorityovertheagencyexceptasexplicitlyset
forthinboardpolicies.Directors'interactionwiththeexecutivedirectororwithstaffmustrecognize
thelackofauthorityinanyindividualdirectororgroupofdirectorsexceptasnotedabove.
Directors'interactionwiththepublic,pressorotherentitiesmustrecognizethesamelimitationand
thesimilarinabilityofanydirectorordirectorstospeakfortheboard.Directorswillmakeno
judgmentsoftheexecutivedirectororstaffperformanceexceptasthatperformanceisassessed
againstexplicitboardpoliciesbytheofficialprocess.
4. Directorswilldealwithoutsideentitiesorindividuals,withclientsandstaffandwitheachotherina
mannerreflectingfairplay,ethicsandstraightforwardcommunication.

43
Sample#3(Source:ManagementAssistanceProjectforNonprofits)
ConflictofInterestPolicy
TheBoardshallnotenterintoanycontractortransactionwith(a)oneormoreofitsdirectors,(b)a
directorofarelatedorganization,or(c)anorganizationinorofwhichadirectorof
Organization
isa
director,officer,orlegalrepresentative,orinsomeotherwayhasamaterialfinancialinterestunless:
1. ThatinterestisdisclosedorknowntotheBoardofDirectors,
2. TheBoardapproves,authorizesorratifiestheactioningoodfaith,
3. Theapprovalisbyamajorityofdirectors(notcountingtheinteresteddirector),
4. Atameetingwhereaquorumispresent(notcountingtheinteresteddirector).
Theinteresteddirectormaynotbepresentfordiscussiontoanswerquestions,butmaynotadvocatefor
theactiontobetakenandmustleavetheroomwhileavoteistaken.Theminutesofallactionstakenon
suchmattersshallclearlyreflectthattheserequirementshavebeenmet.

ManagementAssistanceProjectforNonprofits,2233UniversityAvenueWest,#360,SaintPaul,MN,
612/6471216.
43

177

BoardM emberAnnualDisclosureStatement

ConcerningPossibleConflictOfInterest

Inordertoimplementtheboardconflictofinterestpolicy,boarddirectorsofthecharterschoolwill
annuallycompletethefollowingformtodiscloserealandpotentialconflictsofinterest.Thecompleted
formswillbereviewedbytheExecutiveCommittee,whichwillattemptorresolveanyactualor
potentialconflictsand,intheabsenceofresolution,referthemattertotheBoardofDirectors.

TheundersignedpersonacknowledgesreceiptofacopyoftheCharterSchoolPolicyConcerning
ConflictofInterestdated___/___/___.BymysignatureaffixedbelowIacknowledgemyagreement
withthespiritandintentofthisboardpolicyandIagreetoreporttothePresidentoftheBoardof
Directorsanypossibleconflicts(otherthanthosestatedbelow)thatmaydevelopbeforecompletionof
thenextannualstatement.

_______Iamnotawareofanyconflictofinterest.

_______Ihaveaconflictofinterestinthefollowingarea(s):

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Signed______________________________________________________________

TypeorPrintName___________________________________________________

Date_______________________________

178

BoardConfidentialityPolicy
(Source:Adaptedfrom
BoardOrientationManual
publishedbyAspenPublishers)

Directions:Readthispolicy,andthensignatthebottomacknowledgingyouread,
understandandagreetofollowit.

Noboarddirectoratthischarterschoolshallknowinglydiscloseconfidentialinformationgainedby
reasonofinformationsharedataboardmeeting.Thisincludesdetailsabout:

Childrenenrolledandtheirfamilies
Property
Operations
Personnel
Policies
Affairsofthecharterschool

Boarddirectorsshallnotuseinformationtoadvanceanypersonalinterest,financialorotherwise.

Thecharterschoolshallmaintainconfidentialityofemployeeandstudentrecords,andnoboarddirector
shallacceptemploymentorengageinanybusinessorprofessionalactivitythatmightbeexpectedto
inducehimorhertodiscloseconfidentialinformationacquiredbyreasonofservingthisboard.

AbreachofthispolicywillbereviewedbytheExecutiveCommitteeand,inaccordancewiththe
provisionsoftheBylaws,mayresultindismissalfromtheBoard.

______________________________________________________________________

BoardDirectorsSignature

Date

179

BoardLiabilityQuestionnaire
(Source:AdaptedfromBoardOrientationManualpublishedbyAspenPublishers)

Directions:Askyourselfthesequestionstohelpyoudecideifadecisionyourboardmakes
couldcreatepotentialliabilityforthecharterschool.Ifindoubt,talktotheboardchairor
charterschooladministrator,whocancontactyourboardsattorneyforguidance.

Doesthisdecisionhave:

Afinancialimpactonanypeopleorbusinesseswedealwith?How?

Aphysicalormentalimpactonanyofthechildrenandfamiliesweserve?How?

Legalimplicationsforthecharterschoolorthechildrenandfamiliesweserve?How?

Howcouldthisdecisionaffectournonprofit?

Canwereducetherisks?How?

Canweavoidtherisks?How?

Canweinsurethecharterschooltoprotectusfromtherisk(s)?

Isthebenefittothecharterschoolgreaterthanthepotentialharmifweaccepttherisksthatcomewith
thisdecision?

180

Chapter7:BoardStaffRelations

CriticalBoardBuildingChallenge:

Howdoesthecharterschoolboardbuildand
maintainaneffectiveandmutuallysupportiveworkingrelationshipwiththecharter
schooladministrator?

RoleOfTheBoardInSelectingAndSupportingTheAdministrator

InChapter1,weidentifiedtheselectionandsupportofthecharterschooladministratoramongthe
criticalrolesandresponsibilitiesoftheboard.Thecharterschoolneedsagoodleader.Boardsare
responsibleforrecruitingandsupportingadynamicadministratorwhocanprovidevisionandleadership
tothecharterschool.

Theadministratoractsasthebridgebetweentheboardandthestaffoftheorganization.Sheorheis
designatedtoactonbehalfoftheboardtoimplementitsdecisions.Theadministratorisgiventhe
authoritytohire,organize,andsupervisethestaffofthecharterschool,developappropriatepolicies
andprocedures,andallocateresourceswithinbudgetaryguidelines.Whenlookingforanadministrator,
theboardmustassessthecharterschool'sspecificneeds,thenseekaqualifiedindividualwhohasthe
skillsandexperiencetoguidethecharterschoolinmeetingthoseneeds.Theboardshouldalso
periodicallyevaluatetheperformanceoftheadministratorincarryingoutthedecisionsoftheboardand
otherassignedresponsibilities.We'lldiscussthiscriticalactivityinmoredetailbelow.

What'sInAName?TheNatureOfTheBoardStaffRelationship

What'sinaname?Understandingwhatittakestobuildaneffectiveboardstaffrelationshipbeginswith
understandingthenatureofthepositionofcharterschooladministrator.Somecharterschoolshave
beguntousethetitlechiefexecutiveoradministratorasanexpressionoftheirunderstandingthatthe
responsibilitiesofmanaginganindependentpubliccharterschoolgowaybeyondthetraditionalrolesof
schoolprincipal.Thishasfarreachingimplicationsforhowtheboardwillstructureitsworking
relationshipwiththecharterschooladministrator.

CommonProblemsInTheRelationship
Commonproblemsintheareaofboardstaffrelationsincludethefollowing:

Conflictsoverwhoisresponsibleforwhat.
Fromtheperspectiveofboarddirectors,theperceptionthatthecharterschooladministratoris
oversteppinghisorherauthorityornotprovidingtheboardwithsufficientinformation.
Fromtheperspectiveofthecharterschooladministrator,theperceptionthattheboardisnot
doingenough,orthatboardistakingactioninareasthataretheadministrator'sresponsibilities.
181


Thisissometimesreferredtoasboardmeddlingormicromanagementandhasbeennotedasa
majorproblemforcharterschools.

LayingTheFoundationForAnEffectiveRelationship
Aneffectiveworkingrelationshipbetweentheboardandcharterschooladministratorisbuiltuponsome
oftheconceptspresentedearlierintheguidebook.Firstofall,theboardadministratorrelationship
shouldreflectthedistinctionbetweenendsdecisionmakingbytheBoardofDirectorsandthemeans
usedbystafftoachievetheendssetbytheboard.Endsdecisionmakinghastheeffectofcreating
boundarieswithautonomyfortheadministratorandhisorherstaff.Suchboardmajordecisions
includingsettingthebudget,determiningthestrategicplan,formulatingmajorpolicy,andinterpreting
lawsandregulationswithwhichthecharterschoolmustcomply,createtheplayingfielduponwhichthe
administratorhasauthoritytoact.

TheSupervisoryRoleoftheBoardofDirectors
Theboardhasasupervisoryoroversightroletoplaywithrespecttothecharterschooladministrator.
Butthisisasfarintotheorganizationastheboardssupervisoryroleshouldextend.Theboardhires,
supervises,evaluates,compensates,and(ifnecessary)terminatesthecharterschooladministrator.The
charterschooladministrator,inturn,hires,supervises,evaluates,makescompensationdecisionswithin
thescalesandbudgetsetbytheboardasprovidedforbytheboardapprovedannualbudget.
However,theboardistheultimateemployerofthestaffinthefollowingsense.Itistheboardthat
makespersonnelpolicy.Personnelpolicymayberecommendedbythecharterschooladministrator
and/orthepersonnelcommittee,butonlytheboardcanmakethefinaldecisions.Theboardwillalso
givefinalapprovalofwageandsalaryscales,fringebenefitprograms,vacationplans,andsoforth.
Finally,theboard,usuallyactingthroughitspersonnelcommittee,mayoccasionallybecalleduponto
functionasagrievancecommitteewithrespecttoanemployeewhohasanunresolveddisputewiththe
44
charterschooladministratorandwhoseeksrelieffromsomehigherauthority.

ToolsForStrengtheningTheBoard/AdministratorRelationship
Thereareanumberoftoolsandpracticesthatcanbeusedtostrengthenthisrelationship.Theyareeach
describedbelow.

EffectiveHiringorSelectionProcessfortheCharterSchool
Administrator

Aneffectiveworkingrelationshipbetweentheboardandcharterschooladministratorhasitsrootsinthe
approachusedbytheboardtoselecttheadministratorinthefirstplace.Ithasbeensaidthatthemost
importantdecisionmadebyaboardisthedecisiontohirethefirstadministratorforthecharterschool.
Theadministratorisgiventheauthoritytohire,organize,andsupervisethestaffoftheorganization,
developappropriateinternalpoliciesandprocedures,andallocateresourceswithinbudgetary
guidelines.Whenlookingforanew(orfirst),theboardmustassessthecharterschool'sspecificneeds,
Swanson,Andrew,
SupervisingtheDirector
,NonprofitWorldJournal,May/June1989.

44

182


thenseekaqualifiedindividualwhohastheskillsandexperiencetoguidethecharterschoolinmeeting
thoseneeds.

Duringthesearchprocessforanadministrator,theboardshouldclearlycommunicatetoprospective
candidatesthefollowing:

Howtheboarddefinesitsrolesandresponsibilities.

Howtheboarddefinestherolesandresponsibilitiesofthecharterschooladministrator.

Howtheboardviewstheworkingrelationshipbetweenitselfandtheadministrator.

Atthesametime,thereshouldbeanopportunityforprospectivecandidatestotalkabouttheirown
viewoftheboardstaffrelationshipinordertomakesurethatthephilosophyandstyleoftheboardand
candidatearecompatible.

WrittenJobDescriptionsforBoardDirectorsandtheAdministrator

InChapter1,weoutlinedbasicrolesandresponsibilitiesofthecharterschoolboard.Clarityabout
theserolesandresponsibilitieshelpstolaythefoundationforaneffectiveboardstaffrelationship.In
Chapter2,wespokeabouttheimportanceofawrittenjobdescriptionforboarddirectors.This
descriptionstrengthensthefoundation.

Suchadescriptionmakesrecruitmenteasierbecauseitclearlycommunicatesrolesandexpectationsto
prospectiveboarddirectors.Beyondrecruitment,thewrittendescriptioncontinuestoservesasaguide
forboarddirectoractionanddecisionmaking.Thedescriptionalsoservesasareferencepointfor
boarddirectorevaluationwhichwewillcoverinChapter10.Forsimilarreasons,itisessentialtohavea
writtenpositiondescriptionforthecharterschooladministrator.

WrittenAdministratorJobDescription

Theboardisresponsible,andhastheauthority,fordevelopingthecharterschooladministratorjob
description.Theboardfirstdeterminestherequirementsoftheposition.Theboardthencreatesa
writtenpositiondescriptionbasedontheserequirements.Inactualpractice,theadministratorjob
positionmaybedefinedduringthecharterschoolapplicationdevelopmentstagebeforetheboardeven
exists.Inthiscase,theboardwillreviewtheadministratorpositiondescriptionperiodicallytomakesure
itcontinuestoaccuratelyreflectboardexpectationsandalsomeetstheneedsofthecharterschool.
Whilethereisvariationinthespecificdefinitionofthecharterschooladministratorresponsibilities,in
general,theadministratoristhechiefexecutivestaffpersoninchargeofimplementingthepolicyand
goalsofthecharterschoolboardandoverseeingthedailyoperationsoftheschool.Inthetoolssection
ofthischapter,therearethreesamplepositiondescriptionsthatdescribetheadministrator
responsibilitiesinmoredetail.

183

ClearDefinitionOfHowTheRelationshipBetweenBoardAnd
AdministratorWorks

Anothertoolforstrengtheningtheboardstaffrelationshipisawrittendescriptionthatshowsataglance
thecorrespondingandcomplementaryrolesofeach.Buildingontheearlierdistinctionbetween
governanceandmanagement,thelinesofauthoritybetweentheboardandstaffcanbedepictedby
meansofathreecolumnchart.Inthefirstcolumn,majorareasoforganizationaldecisionmakingand
actionarelisted.Then,foreachofthesemajorareas,thesecondcolumnliststhespecificrolesand
responsibilitiesoftheboard.Finally,thethirdliststhecorrespondingspecificrolesandresponsibilities
oftheadministrator.IntheToolSectionofthischapter,youcanfindasampleofthischart.Hereisan
abbreviatedexample.

Responsibility
BoardOfDirectors
Administrator
Financeand
Accounting

Approvesannualbudget.
Reviewsperiodicfinancialreports
(balancesheet,incomestatement,
changesinfinancialposition).
Ensuresthatproperinternalcontrolsare
inplace.

Preparesannualbudgetwithinputfrom
staffandfinancecommittee
Overseespreparationofperiodic
financialreports.
Implementsproperfinancialcontrols.

Whilesuchawrittenchartwillgoalongwaytopreventmanyproblemsandconflictsbetweenthe
boardandadministrator,itisnotasubstituteforgoodcommunicationandcommonsense.

CommunicationPlanthatProvidesInformation
AccordingtosurveysdonebytheNationalAssociationofIndependentSchools,boardchairs
frequentlycomplainthattheadministratordoesnotcommunicateenough.Atthesametime,surveys
showthatadministratorsoftenworrythattheyoverwhelmtheboardchairwithtoomuchinformation.
Sometimes,theadministratorwillwithholdnegativeinformationbutingeneral.suchapolicycanleadto
misunderstandingorconflicts.Ifwewanttobuildrelationshipsoftrust,weneedtoadheretowhatone
administratorcallsthedoctrineofnosurprises.

Itisalsoimportantthattheboardandadministratortalkabouthowmuchinformationisdesired,best
waystosharethisinformation,andingeneralhowtomaintaineffectivecommunicationwitheachother.
Forexample,MarkKushner,principalofLeadershipHighSchoolinSanFrancisco,communicatesby
emailwithhisboardchaironadailybasisandmeetsfacetofaceatleastonceaweek.

InvolvementofBoardandStaffinStrategicPlanning
Thereisprobablynootherorganizationalpracticethatcandomoretostrengthentheworking
relationshipbetweenthecharterschoolboardandtheadministratorthanstrategicplanning.The
processisdescribedinsomedetailinChapter5ofthisguidebook.Duringtheprocess,board
directors,theadministratorandotherstaffhavetheopportunitytodiscussindepththemajorissuesand
challengesfacingthecharterschooloverthenextseveralyears.Togetherwithotherkeystakeholders,
184


theboardandstaffdefinethemission,corevalues,vision,goals,andstrategiesthatwillmakeupthe
overallstrategicplan.Duringtheprocess,thereisanopportunitytosharedifferingviewpointsand
explorearangeofoptionsforfutureaction.Asaresult,boardandstaffcanemergefromtheplanning
processwithadeeperandsharedunderstandingofprioritiesforthefuture.Conversely,ifthestrategic
planisdefinedbytheboardorstaffworkinginisolation,differencesofopinionarenotshared,
discussedandresolved,leadingtomoreproblemsinthefuture.

MaintainHealthyAndMutuallySupportiveRelationshipBetweenTheBoard
ChairAndCharterSchoolAdministrator

Inaveryrealsense,ifyouwanttogaugetheorganizationalhealthofthecharterschoolboardandstaff
structure,lookfirstatthequalityoftheworkingrelationshipbetweenthepresidentoftheboardandthe
charterschooladministrator.Effectivecommunicationisoneofthekeystomaintainingthisvital
workingrelationship.Theboardpresidentandtheadministratorneedtomeetregularly,settingaside
ampletimesothattheycanreallygetintosomeofcurrentissuesfacingthecharterschoolandstillhave
enoughtimeleftovertocheckinwitheachotheronprogressorlackofitonthecurrentgoalsand
objectives.

TheboardtrusteehandbookpublishedbytheNationalAssociationofIndependentSchools,includesa
veryusefulchartthatlistsdifferencesinthethreepositionsoffullboard,boardchairandadministrator.
Thechart,adaptedforinclusioninthisguidebook,ishelpfulinunderstandingtheinterplaybetweenthe
boardandadministrator.

FullBoard
BoardChair
Administrator

Corporateentitycanact
onlyasagroup.
Continuousexistenceas
thecorporateboardthough
individualmembership
changes.
Parttime.
Doesnotsupervisethe
staff
Hasultimateresponsibility
withchair.
Typicallynotexpertin
education.
Volunteer.
Focusesongovernance,
notadministrativematters.

Cannotofficiallyactalone.

Parttime.
Doesnotsupervisethe
staff

Changesannuallyinmany
schools.

Hasultimateresponsibility
withfullboard.
Typicallynotexpertin
education.
Volunteer.
Focusesongovernance,
notadministrativematters.
Maydiscusssomemajor
administrativeissuesif
askedbyadministrator.

Anindividual.
Istemporaryinthelifeof
theschool.Oftenserves
longerthanindividual
boarddirectors.
Fulltime.
Supervisesotherstaff
directlyorthrough
designee.
Haslimited,immediate
responsibility.
Typicallyisexpertin
education.
Salaried.
Focusesonadministrative
matters.Isinvolvedin
governance/policymatters
advisesboardoffers
recommendationsbrings
issuestoboardsattention.

185

MaintainAnEffectiveBoardRecruitmentAndOrientationProgram

Buildinganeffectiveboardandstaffrelationshipcanbeginearlyintheboardrecruitmentandorientation
process.Herewehaveanopportunitytodescribeforprospectiveboarddirectors,ourphilosophyand
approachtostructuringeffectiveboardstaffrelations.Thisisimportantforafewreasons.First,there
isenoughconfusionaboutboardstaffrelationsinmanyschoolsandotherorganizationsthatanew
boarddirectorwillnotbeclearaboutthecomplementary,yetdistinctrolesthattheboardandstaffplay
inthecharterschool.Itmayalsobethatanewboarddirectorwaspreviouslyinvolvedinan
organizationinwhichitwascustomaryfortheboardtomicromanage.Notknowinganythingdifferent,
thisnewboarddirectormayassumethatthisistherolethatboarddirectorsplayinyourcharterschool.
Theprocessofeducatingboarddirectorsabouttheirrelationshiptostaff,inparticular,thecharter
schooladministrator,continuesintheboardorientationandongoingtrainingprograms.

186

MaintainOngoingClarityRe:BoardPolicyAndOversightFunctions

Wecanmaintainclarityregardingboardpolicyandoversightfunctionsbyperiodicallyreviewingand
reflectingtogetheronrolesandresponsibilities.Agoodwaytosortoutboardandstaffrolesistoputall
theareasofconfusiononthetableforopendiscussion.Invitetheboardalongwiththecharterschool
administratortoengageinadialogueabouttheseissues.Thereareanumberofformatsavailablethat
canbeusedtocreatethisopportunityfordialogue.SeetheToolssectionofthechapterforagood
example.

EvaluatingTheCharterSchoolAdministrator

Oneresponsibilityoftheboardofdirectorsisappraisingtheworkofthecharterschool'sadministrator.
Thisevaluationcanhelptoimprovetheconfidence,support,growthandworkingrelationshipbetween
theboardandtheadministrator.Whilethisreviewissometimesavoidedordonepoorly,itrepresentsan
opportunitytoidentifychallengesinprogramorperformance,providerecognitiontotheadministrator
andstrengthenthecharterschool'soverallmanagement.Thisevaluationprocesscanalsoplayakeyrole
inclarifyingandstrengtheningtheboardstaffrelationship

Thecharterschooladministratorshouldexpecttoreceiveacoherentviewoftheboard'sopinionofhis
orherworkonanannualbasis.Theevaluationprocesswillbemoreeffectivewithadvanceplanning.At
aminimum,theappraisalcantaketheformofaprearrangeddiscussionbetweentheadministratorand
theboardchair,althoughtheevaluationshouldhaveawrittencomponentaswell.

Thecharterschooladministrator'sperformanceshouldbemeasuredinrelationtohisorherjob
description,andtheevaluationmaycoverthefollowingactivityareas:staffrelationsadministration
planningeducationalprogramleadershipfiscalmanagementexternalpublicrelationseffectivenessin
workingwiththeboardtomeettherequirementsofthechartercontractandtheoverallstrategicplanof
thecharterschoolandeffectivenessinhelpingtheboardachieveitsownaccountabilityandlevelof
responsibility.Thespecificsoftheevaluationprocessshouldbedeterminedbythepersonnelcommittee
orataskforceoftheBoard,andthecharterschooladministratorshouldbeinformedoftheprocessin
advance.Anexecutivecommitteeortheboardchaircanreporttheconclusionsoftheevaluationtothe
charterschooladministrator.

Thetypeofevaluationthecharterschoolusescanincludeanyofseveralelements:
Writteninputfromalloftheindividualboarddirectors
Writteninputfrompeerstaffmembers
Selfevaluation
Intermittentobservation
Aformalratingsystem
Linkagetomeasuresofstudentperformance
Anopenendeddiscussionofcareergoalsandpathsand
Opportunityforthecharterschooladministratortorespond.

187


Oneapproachthatcouldworkwellforsomecharterschoolsisfortheboardchairtocirculatea
questionnairetoalloftheboarddirectorsaskingspecificquestionsaboutthecharterschool
administrator'sperformanceduringthepastyear.Thequestionnairecanusearankingsystem
(i.e.1=outstanding,2=expected,3=belowexpectations,4=notsatisfactory)andincludespacefor
narrativecomments.TheChaircanthensummarizetheseresponsesandcommunicatethemtothe
administrator,seekinghisorherreaction.Atthatpoint,thechairandtheadministratorcanset
performanceobjectivesforthecomingyear,andthenareportcanbemadetothefullboardforreview.
45
Afterthat,changesincompensationcanalsobediscussed.

Othercharterschoolswillgladlysharecopiesoftheirperformancereviewprocess,proceduresand
formswithyou.Askcolleaguesandfriends.Don'tlimityourselftocharterschoolscheckwithother
schoolsbothpublicandprivate,othernonprofitsandforprofitsalike.OntheToolsSectionofthis
chapter,therearetwoexcellentexamplesofadministratorevaluationtools:

EXCELPrincipalEvaluationFormdevelopedbyLeadershipforQualityEducation,a
businessbackedschoolreformorganizationinChicago,andMetamorphics,aprivatesector
humanresourcesconsultingfirmbasedinChicago.
PrincipalEvaluationFormdevelopedbyJeffersonAcademyJuniorHighCharterSchool.

Whilewereonthesubjectofevaluation,therealsoneedstobeaneffectiveevaluationprocessforthe
boardaswell.Chapter9onboarddirectormotivationandaccountabilitywilldiscusswaysforthe
boardtoevaluateindividualandcollectiveboardperformance.Weneedtoapproachassessmentasa
tooltostrengthentheperformanceofboardandstaffalike.

Withsomuchridingonthiscriticalprocess,hereisasevenstepsequencetoutilizeindesigningthe
administratorperformancereviewprocessforyourcharterschool.Adaptittomeetyourspecificneeds:

Step1Determinewhowillberesponsibleforconductingtheperformancereview
process.
Somecharterschoolboardswilldelegatethisresponsibilitytoanexecutive
committeeorapersonnelcommittee.Therearewrittenjobdescriptionsforbothofthese
committeesinthetoolsectionofChapter11.Insomecases,theboardwillchoosetoestablish
anadhocgroupforthisspecificpurpose.It'sgenerallynotadvisablefortheentireboardto
handletheperformancereview.Dependingonthesizeoftheboard,itcanbeabitintimidating
foreventhemostselfassuredandcourageouscharterschooladministratortofacealarge
group.Groupsizecanalsoinhibitthekindoffrankandopenconversationaboutperformance
issuesthatisoneofthehallmarksofaneffectiveperformancereviewprocess.

Step2Developmentoftheperformancereviewprocessandtimetable.
Thisstepand
therestofthesequenceisdelegatedbytheboardtotheappropriatecommitteeasdescribedin
steponeabove.Let'sassumethatthepersonalcommitteeisresponsible.Acriticalelementin
theperformancereviewprocessisawrittenevaluationsurveyinstrument.Therearesamplesin
thetoolsectionofthischapter.Thepersonnelcommitteewillalsodevelopatimetableforthe

AssessmentoftheChiefExecutive
,NationalCenterforNonprofitBoards

45

188


entireprocess.Theperformancereviewprocessandtimetablecanbesharedwiththecharter
schooladministratorforinput.Heorshemayalsobeabletoassistthepersonnelcommitteein
findingresourcesandsampledocuments.Theboardofdirectorsofthecharterschoolreceives
theperformancereviewprocessandtimetableandthenadoptsitastheofficialprocedure.The
procedureisthenimplementedinthefollowingway.

Step3Setperformanceexpectationsforthecharterschooladministrator
.Theprocess
beginswiththepersonalcommitteereviewofthefollowingfourthings:thecurrentwrittenjob
descriptionfortheadministrator,relevantsectionsofthecharterschooleducationalplanand
contract,aswellasthecharterschoolstrategicplan,andthepastperformanceofthecharter
schooladministrator.Itisveryimportanttolinkyourperformancereviewsdirectlyto
administratorjobdescriptions,soagoodfirststepistoupdateorreviewthisjobdescription.If
suchajobdescriptionisnotinplace,thendevelopingoneshouldbeahighpriorityofboththe
boardandtheadministrator.Thejobdescriptionoughttoberesultsorientedandavoidgoing
intodetailabouthowthejobistobedone.ThereisasampleadministratorpositionintheTools
Sectionofthischapter.

Step4Conducttheperformancereview.
Thedesignatedcommitteethenconductsthe
performancereviewaccordingtothepreviouslyagreedupontimetable.It'simportantthatthe
rulesofthegamenotbechangedinmidstream!Earlier,mentionwasmadeofthedoctrineof
nosurpriseswithreferencetotheadministratorsroleinkeepingtheboardfullyinformed.This
doctrineappliesequallywelltoperformanceassessmentoftheadministrator.Theboard
shouldensurethattheadministratorisgettingcontinuousfeedbackthroughouttheyear,notjust
annuallyintheformalperformancereview.

Step5Developperformancedevelopmentactionplan.
Thecharterschooladministrator
thendevelopsanactionplanbasedontheresultsoftheperformancereview.Thisactionplan
shouldidentifyareasofstrengthandweaknessandstrategiesforcontinuedprofessionalgrowth
oftheadministrator.Theplancanalsoidentifysupportiverolesthattheboardcanplay.

Step6Reviewtheperformancereviewprocess.
Afterperformancereviewprocesshas
beencompleted,itisgoodpracticetoreviewtheentireprocesstodeterminewhatworked,
whatdidn'tworkandwhatchangeswouldstrengthentheprocessinthefuture.

Step7Repeatsteps1through6.

ContractingOut:OtherStaffingM odelsandImplicationsforBoard
Governance
PrivateManagementFirms

189


Today,anincreasingnumberofcharterschoolsareconsideringcontractingforeducationalmanagement
services.Tomakesuchcontractualrelationshipworkwell,charterschoolboardsneedtostrikean
effectivebalancebetweenfulfillingtheirpublicobligationstogoverntheschoolresponsiblyontheone
hand,withgivingcontractorstofreedomtohandleschooloperationswithoutmicromanagementfrom
theboard,ontheother.TheCharterFriendsNationalNetworkhaspublishedanimportantguideto
helpcharterschoolboardsbuildsuccessfulpartnershipsbetweenthecharterschoolandaschool
managementorganization.Thepublicationisentitled
ChartingAClearCourse
byMargaretLinand
BryanC.Hassel.Theauthorspointoutthatforacharterschoolboardthatconsiderscontractingwitha
managementorganization,thesamecentralissueremains:howtodividerolesandresponsibilities
betweentheboarditselfandthosewhocarryouttheorganization'sdaytodaywork.Whetherthose
daytodaystaffareemployeesoftheboardoramanagementorganizationcontractedbytheboard,it
isstillimportanttoclearlydefinetherolesandresponsibilitiesofboth.Inthinkingthroughacontractwith
amanagementfirm,theboardmustensurethattheagreementempowerstheboardtofulfillits
responsibilitiesasdescribedinChapter1ofthisguidebook.Theauthorsgoontostatethat:

Contractscanappropriatelyempowerboardsinseveralways:

Directauthoritybystatingclearlythatcertainresponsibilitieswillbefulfilledbytheboard.
Delegationwithinformationbystatingclearlythatthemanagementorganizationwillcarryout
certainresponsibilitiesandrequiringthemanagementcompanytoprovidecertainkindsof
informationtotheboard(onatimetable)sotheboardknowswhetherdelegatedresponsibilities
arebeingfulfilled.
Retaineddecisionmakingpowerbysettingforthdecisionmakingorsignoffproceduresthat
insurertoboardhadfinalapprovalatimportantjunctures(e.g.,thesettingoftheannualbudget
significantexpenditurestheestablishmentofannualenrollmentprocedurestheselectionofthe
principal).

Eachofthesethreeoptionsplacesatoolinthehandsofboardthatenablesitdirectlyorindirectly
tofulfillitsresponsibilities.Theprimarywayinwhichboardscreatethesetoolsisbyadoptinga
comprehensivesetofpoliciesonarangeofimportantissues.Thesepoliciessetparameterswithin
whichthemanagementcompanyandschoolstaffmustwork,outlinecriticaldecisionmakingprocesses,
46
andestablishformallinesofcommunicationbetweentheboardandmanagement.

ChartingAClearCourse
includesavaluablechartthatprovidesasamplingofissuesthatthesepolicies
canaddress.Moreinformationaboutthepublicationisincludedinthetoolssectionofthischapter.

TeacherCooperatives

Anotherapproachsometimesusedbycharterschoolsistocontractwithateachercooperative.Oneof
thebestexamplesistheNewCountryCharterSchoolinHenderson,Minnesota.Theguidelinesoffered
intheCharterFriendsNationalNetworkpublication
ChartingAClearCourse
forstructuringa

46

Hassel,BryanandLin,Margaret,
ChartingAClearCourse
,CharterFriendsNationalNetworkandCenterforPolicy
Studies,1999.

190


relationshipwithaneducationalmanagementorganizationwouldalsobeusefulforacharterschool
boardwishingtonegotiateanagreementwithateachercooperativeaswell.

ConflictM anagementandResolution

Toacertaindegree,conflictinorganizationsisnatural,predictableandcanbetappedasapowerful
resourceforcreativethinkingandeffectivedecisionmaking.Inthebestboards,atthesametimethere
isagreementaboutthesharedmissionandvisionofthecharterschool,therewillbedifferent
perspectivesabouthowtoachievethemissionandvision.Thereareanumberofplanning,
decisionmaking,andcreativethinkingtoolsandtechniquesthatcanbeusedtobuild,inapositiveway
onthedifferingperspectivesandviewpointsofboarddirectors.Inthelastchapterofthegovernance
guidebook,thereareanumberofoutstandingresourcesthatshouldbeconsidered.

Now,wewanttofocusonthekindsofconflictsanddisagreementsthatwearealltoofamiliarwith.
MarionPetersAngelica,inhernewbook
ResolvingConflictinNonprofitOrganizations
publishedby
theAmherstWilderFoundation,notesthatroleconfusionbetweentheexecutivestaffleaderandboard
directorsisamajorsourceofconflictinorganizations.However,muchofthisconflictcanbeavoided
betweentheboardandstaffofthecharterschoolifrolesandresponsibilitiesoftheboardareclearly
definedandsomeofthetoolsandpracticespresentedinthischapterareutilized.

Evenifthisisdonehowever,fromtimetotimeconflictswillriseanditisimportanttorespondtothem
effectivelyandinatimelymanner.Thereareanumberofresourcesavailabletocharterschoolsneeding
tomanageandresolveconflicts.ThisnewpublicationfromtheAmherstWilderfoundationstandsout
andwewillbedrawingonitforideas.

Angelicaidentifiesanumberoftypicalpointsaroundwhichboardconflictarises.Thelistincludesthe
47
following:

Angelica,MarionPeters,
ResolvingConflictinNonprofitOrganizations
,AmherstWilderFoundation,1999.

47

191

CommonAreasofBoardandStaffConflict

Differencesamongboarddirectors:
Personalandcommunicationstyles.
Visionfortheorganization.
Personalexpectationsoftheorganization.
Levelsofparticipationinboardwork.
Understandingofboarddirectors'roles.
Amountofloyaltytotheadministratorandthecharterschool.

Areasofauthorityandresponsibilitydividedbetweentheadministratorandtheboard:
Meansofaccountabilityforadministratortotheboard.
Degreeofautonomyavailabletotheadministratorindecisionmakingandaction.
Amountofinformationofboardneedstofeelinformedaboutitswork.
Levelpolicymakinginwhichtheboardengages.
Leveloffinancialresponsibilitytheboardundertakestokeepthecharterschoolsolvent.

Areasofauthorityandresponsibilitybetweentheboardchairandtheadministrator:
Whoservesasspokespersonforthecharterschool.
Amountofinformationtheboardchairneeds.
Evaluationofadministratorperformance.

Levelofaccesstotheboardofdirectorsbylineandmidlevelstaff:
Budgetallocationsbetweenprograms.
Personnelissuesandgrievances.

Differencesamongstaff:
Managementstyles.
Methodsofprogramimplementation.
Allocationoftimeandresources.
Personalandcommunicationstyles.
Expectationsforparticipationindecisionmaking.
Staffexpectationsforautonomy.

Conflictsamongboarddirectorsandconflictsbetweenboardandthecharterschooladministratorare
amongthemostcommon.

ConflictBetweenBoardDirectors

Inthecaseofconflictamongboarddirectors,itisadvisablefortheadministratortolettheboardchair
taketheleadinresolvingsuchconflicts.Managingtheboardisthechair'sjob.Askilledchairwill
encouragethe"warringparties"toresolvetheirissuesawayfromtheboardroom.Itisimportantforthe

192


chairtorespondquicklyasevensmallconflicts,ifleftunresolved,willleadtodeeperresentments.
Angelicarecommendsthefollowing:

Oneofthemostfrequentlyusedstrategiesinboardconflictsisaprivatemeeting.Thisisnotdoneto
keeptheboardconflictasecretbutforthecomfortofbothdisputingpartiesandtheuninvolvedboard
directors.Toconductaprivatemeeting,theboardchaircanuseshuttlediplomacy,speakingprivately
withindividualboarddirectors.Also,heorshecanbringalimitednumberofdisagreeingmembers
togetherprivatelyforafacilitateddiscussionoutsideoftheboardroom.Thiscanbeespeciallyhelpful
whenaboardconflictisamongonlyafewoftheboarddirectors.However,theorganizationsbylaw
languagedefiningaquorumaffectsthenumberofmembersachaircanconvenewithoutameeting
becominganofficialboardmeeting.Ifthenumberofpeopleintheconflictsconstitutesaquorum,itisa
formalmeetingofboardandallmembersshouldbeinvitedtoattend.Ifuninvolvedmembersknowthe
meetingtopic,theycanchoosewhethertoattend,buttheyshouldnotbeexcluded.

Iftheboardchairisunwillingorunabletoplaysuchaconflictmanagementrole,theinvolvementof
anotherleadermustbesought.Sometimesahighlyrespectedpastboardchair,boarddirector,orother
communityleadercanbeagoodchoice.Inanycase,thepersonshouldhaveconflictmanagement
skills,bewellregardedbyallpartiesandbeviewedasimpartialbeforethepartiesandtheissuesat
stake.Alastresortisuseofaskilledoutsidemediator.

193

ConflictBetweenTheBoardAndExecutive

Angelicaidentifiesthreescenariosandoffersconflictresolutionsuggestionsforeach,adaptedherefor
48
charterschools:

TypeOf
TypicalScenario
ConflictResolutionStrategies
Conflict
Conflictbetween
staffand
administrator

Astaffconflictis
broughttotheboard.
Theadministratorhas
notbeenableto
resolveit.The
administratordecides
tobringittothe
boardsattention.

Boardand
administratorarein
directconflict

Theboardandcharter
schooladministrator
haveaserious
disagreementabouta
majorpolicy,decision
orfuturedirection.In
manycasesthe
administrator,asan
employeeoftheboard
losesresultingin
resignationor
terminationbythe
board.Suchconflicts
cancausemajor
damageandinsome
casesputthefutureof
thecharterschoolin
jeopardyasparents,
staffandcommunity
leadersloseconfidence
intheschool.

Theboardshouldstepinwheneffortstoresolveconflictof
thestafflevelhavenotsucceeded.Theadministratorshould
outlinethenatureoftheproblemandsuggestaprocessthat
theboardmightuse.Iftheissuerequiresconfidentialitybe
suretomaintainsame.
Theboardmaydecidetodelegatetheconflicttothe
personnelcommitteeorexecutivecommittee.Thisapproach
preventstheconflictfromoccupyingsomuchofthefull
boardstimethatotherimportantmattersareneglectedbythe
board.Thecommitteelistenstoallpartiesandfacilitates
developmentandconsiderationofpotentialsolutions.The
committeemayalsoserveasarbiterdevelopingasolution
thatitfeelsisinthebestinterestsofthecharterschooland
thepartiesinconflict.Dependingonauthoritydelegatedto
thecommitteebythefullboard,thedecisioncanbemadeat
thecommitteeleveloritmayhavetobevotedonbythefull
board.
Ifthecommitteeisunabletoresolveconflict,theboardcan
attempttoresolveitatthefullboardlevel.
Rapidactionandprofessionalhelpareusuallycalledfor
sinceneithertheadministratornortheboardchaircan
manageamajorconflicttowhichheorsheisaparty.
Suggestionsforoutsidehelpincludeamediator,an
organizationalconsultantwithconflictmanagementskills,or
thecharterschoolspreviousboardchair,administrator,or
similarleaderwithconflictmanagementskills.
Giventhehumandynamicsaroundaseriousconflict
betweentheboardandtheadministrator,itisadvisablefor
theboardandadministratortodiscussinadvanceofanyreal
crisis,howthehelpofanoutsideresourcewouldbetapped
intheeventofaseriousconflict.

Ibid
.

48

194


Staffmakeanend
run

Inthisscenario,astaff
personsupervisedby
theadministratorhasa
conflictwiththe
administratorand
bringstheissue
directlytoboard
directors.

Suchanendruncanunderminethesupervisoryrelationship
betweentheadministratorandotherstaffofthecharter
school.Furtheritcandamagethetrustrelationshipbetween
theadministratorandacharterschoolboard.Newboard
directorsandstaffneedtobetolledduringorientationthat
theexecutivedirectorisapointofcontactfortheBoardof
Directors.Inallcases,theprocedureisforstafftoinformthe
executivedirectorofanyinteractionswithboarddirectors.
Whenamemberofthecharterschoolboardisapproached
byastaffpersonregardingsuchaconflictsituation,thefirst
responseshouldbetellthestaffpersontobringthematter
directlytotheadministratorandtheninformthe
administratorofthecontact.Theadministratorthentalks
withthestaffpersonabouttheboardstaffcommunications
policy.
Iftheendruninvolvesastaffpersonwhoisnotsatisfied
withpreviousattemptstoresolveconflictwiththe
administrator,andhascontactedtheboardasalastresort,
theapproachisdifferent.Angelicaadvisesthatresolving
suchaconflictatthispointwilllikelyrequiretheassistance
ofanoutsidemediatorforresolution.Theviewbytheboard
andadministratorofsomecharterschoolswillbethatthe
previousdecisionoftheadministratorstandsandthat
revisitingthatdecisioncouldseriouslyunderminelinesof
authoritywithinthecharterschool.Itisimportantthatyour
charterschoolboarddecidewhatthepolicywillbeinsuch
situations.

Onceagain,itisimportantthattheboardhavepoliciesinplacetorespondtotheinevitableconflictsthat
willarisefromtimetotime.Theadministratorandtheboardleadershiptobeveryclearwitheachother
abouthowtorespondtothekindsofsituationsdescribedabove.Theoutcomeisalwaysmorepositive
whensuchdiscussionsoccurbeforethestormdescends.

ShouldPaidStaffOfTheCharterSchoolServeOnTheCharterSchoolBoard?

Thepracticeinmanycharterschoolsasitisinmosttraditionalpublicschoolsisforemployeesofthe
schooltoserveonthegovernancebody.Therootsofthispracticeprobablyincludesomeorallofthe
followingfactors:

Acommitmenttoshareddecisionmakingleadingtotheconclusionthatpaidstaffhavetobe
includedasmembersofthegoverningbodywhetherthatbodyisaboardofdirectorsas
describedinthisgovernanceguidebookorsomeothermodel.
Theviewthatifstaffarenotonthegoverningboardthentheywillbeleftoutofthe
decisionmakingwithinthecharterschool.
Borrowingfromthetraditionalgovernancepracticesofmostpublicschoolsthatreflectbeliefsin
shareddecisionmaking,thestronginfluenceofteacherunionsonthedevelopmentofshared
decisionmakingpractices,andtheblurringofmanagementandgovernanceresponsibilities.
Alackofexperienceinstructuringnewschoolgovernancemodels.Whilecharterschool
developersincludesomeofthemostinnovativethinkersandpractitionersineducationtoday,
195


therehasbeenalackofknowledgeandexperienceonthepartofeducatorsinorganization
developmentincludingstructuringeffectivegovernancemodels.

Soshouldpaidstaffofthecharterschoolserveonthecharterschoolboard?Therearediffering
opinionsonthisimportantissueandthereneedstobeacontinuingdialogue.

Manybelievethattheanswertothisquestionisyes.Asmentionedearlier,thepracticeinmany
schoolsistoincludetheprincipalorschooladministratoraloneorwithadditionalmembersofthe
teachingstaff.Suchinvolvementwillaffordstaffanopportunityforinputintodecisionmakingandwill
49
helptobuildasenseofteamworkandunityamongboarddirectorsandstaff.

IntheviewexpressedbyRobertC.AndringaandTedW.Engstrom,authorsof
NonprofitBoard
AnswerBook
,theanswerisno.Whiletheyarediscussingtheissueinrelationtononprofitsingeneral,
theircommentscanoffersomeinsighttocharterschooldevelopersandboardleaders.Theirviews,
whichruncountertoprevailingpractices,will,nodoubt,provokecontroversy.

Ingeneral,AndringaandEngstromstatethatstaffshouldnotserveontheboard.Theybelievethat
servingasapaidstaffmemberandthenfillingtheroleofavolunteerboarddirectorofthesame
organizationis,onthefaceofit,aconflictofinterest.Accountabilitytothecommunityisbetterserved
through"aseparationofpower,checksandbalancesthatcomesfromdistinguishingtheroleofthe
boardfromthatofstaff."Theyviewastheidealmodel,avolunteerboardofcompetentandcommitted
peoplesettingpolicyandoverseeingtheworkofstaff.Theboardcanbenefitfromthestaff's
experienceandperspectiveswithoutputtingthemontheboard.Theirpositionisspelledoutinmore
detailinanexcerptfromtheirbookincludedinthetoolssectionofthischapter.

Ineithercase,itwillbeimportanttohaveboardpoliciesinplacethatmanagetherealandpotential
conflictsofinterestthatmayarise.SuchpolicieswerediscussedinChapter6ofthisguidebook.

49

Thepointcanbemadethatinacharterschool,committedtotheempowermentofstaffandtheirinvolvementin
decisionsthatimpacttheirworkwithchildren,therewillbewovenintotheveryorganizationalfabricofthecharter
school,arichandextensivesystemofdecisionmakingpracticesthatinvolvestaff.Inthisapproach,staff
decisionmakingwouldbelinkedtothegovernancedecisionmakingoftheboardinamannerdescribedinthis
chapter.

196

Chapter7:ToolsYouCanUse
SamplesOfFoundationDocuments

DivisionofRolesbetweenBoardandAdministrator
BoardAndStaffRolesWorksheet(Source:NonprofitBoardAnswerBook)
SampleJobDescriptionsForTheAdministrator(Source:YWCACharterSchool)
EXCELPrincipalEvaluationForm(Source:EXCELmaterialsweredevelopedbyLeadership
forQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago)
PrincipalEvaluationForm(Source:JeffersonAcademyJuniorHighCharterSchool)
BoardStaffTimeAndAttentionGraph(Source:NationalAssociationofIndependentSchools)
ShouldStaffServeontheBoard?(Excerptfrom:RobertC.AndringaandTedW.Engstrom,
NonprofitBoardAnswerBook
)

EssentialResourcesforBuildingBoardStaffRelations

Pierson,Jane,andMintz,Joshua,
AssessmentoftheChiefExecutive
,NationalCenterfor
NonprofitBoards,1999.(Includesdiskettecontainingassessmenttoolforannualreviews.)

197

DivisionofRolesBetweenBoardandAdministrator
(AdaptedfromBuildingandManagingAnEffectiveBoardofDirectors,
CenterforNonprofitManagementinSouthernCalifornia)

Thischartdescribestherolesandresponsibilitiesoftheboardandthecharterschooladministratorin
criticalareas.Revieweachentryandreviseasbasedonthespecificneedsandrequirementsofyour
charterschool.Thischartshouldbereviewedonanannualbasisandupdatedifnecessary.

Responsibility
Legal

BoardOfDirectors

Financeand
Accounting

Administrator

Exercisesfiduciaryroletoensurethat
thecharterschoolisproperly
managed.Theboardshouldhavea
mechanismtovalidateinformation
fromtheadministrator.
Maintainslegalstatusinsuresthe
properpaperworkissubmittedto
governmentalagencies.
Reviewsfinancialandbusiness
dealingsandexercisesproper
judgmentinselfdealingtransactions
avoidanceofconflictsofinterest.
Approvesannualbudget.
Reviewsperiodicfinancialreports
(balancesheet,incomestatement,
changesinfinancialposition).
Ensuresthatproperinternalcontrols
areinplace.
Establishesmissionandprogram
directionforthecharterschooland
approvesgoalsandobjectives
designedtoachievethoseends.
Reviewsstrategicplanandprogress.
Assessescompliance/progressin
achievingeducationalandother
outcomesagreedtointhecharter
contract.
Assessesprogramevaluationplan.

Planning

Policy

Developandadoptwrittenpolicies
Responsibleforreviewingpolicies
periodically

Personnel

Setsandreviewspersonnelpolicies.
HiresCharterSchoolAdministrator
andevaluatestheadministrator's
performance.

Mustprovideinformationtotheboard
todemonstratethatthecharterschoolis
wellmanaged.
Compilesinformationforannualfiling
requirements.
Signalstotheboardifeitherofthe
situationsislikelytooccur.

Preparesannualbudgetwithinputfrom
staffandfinancecommittee
Overseespreparationofperiodic
financialreports.
Implementsproperfinancialcontrols.
Participatesinestablishingmissionand
programdirectionforthecharterschool.
Contributestovisionofthecharter
schoolandassiststheboardin
maintainingfocusandmomentumfor
thecharterschool
Developsspecificprogramgoalsand
objectivesbasedontheboardspecific
mission.
Developsreportsoroverseesstaff
developmentofreportstodemonstrate
programprogress.
Identifiesneedfornewpolicies
Responsibleforassuringthe
implementationofpoliciesandfor
assistingtheboardinanalyzingpolicy
options
Implementspersonnelpolicies.
Recommendschangesinpersonnel
policiestotheboard.
Hiresallpersonnelandevaluates
performanceofstaffmembers(or
delegatestoappropriatesupervisor).

198


Resource
Development

BoardAccountability

Decisionmaking

CommunityRelations

Contracts
AddOthersHere

Responsibleforassuringlongrange
commitmentsofresourcesestablishes
afunddevelopmentplanand
participatesinitsimplementation.
Reviewsandapprovesallmajorgrant
proposals.

Establishesandcommunicatesclear
expectationsofBoarddirectorship
Assureseffectiveparticipationof
Boarddirectors

Definesandcommunicatestheroleof
Board,administratorinmaking
decisions
Assuresappropriateinvolvementof
boarddirectorsincharterschool
decisionmaking

Promotesthecharterschooltoparents
andthegeneralpublic,including
servingasanemissaryofthecharter
schooltothebroadercommunity.
Promotescooperativeactionwith
othercharterschoolsincluding
activitiesandoccasionswhenthe
charterschoolshouldtakepartin
coalitions,sharedprograms,joint
action,etc..
Approvescontracts

Interpretsthemissionofthecharter
schooltothecommunitythroughdirect
involvement,publicrelationsprograms,
includingpersonalcontact,descriptive
programliterature,andworkwiththe
mediaworkscloselywiththeboardfor
aneffectivedivisionoflabor.

Managescontracts

Conductresearchandmaintain
informationdatabase.
Assistinfunddevelopmentefforts.
Developsgrants,andotherfunding
applications,plansfundraisingevents,
entersbusinessventurestosupport
mission.
Facilitatestrainingandinformation
exchangeformembersinpreparationfor
selectionofBoarddirectors
Facilitateseffectivecommunication
amongBoarddirectors
Makesactiondecisionswithin
parameterssetbytheboard,
collaboratesbothwiththeotherstaff
andBoardinsomedecisions

199

BoardandStaffRolesWorksheet
(Source:RobertC.AndringaandTedW.Engstrom,
NonprofitBoardAnswerBook,NCNB
)

Foreachissueortask,indicatewiththeappropriateletterwhereyourboardisnowand
whereitshouldbe:

A. Boardinitiatesanddecidesonitsown(charterschooladministratormay
implement).
B. Charterschooladministratorformallyrecommendsandboarddecides.
C. Charterschooladministratordecidesand/oractsafterconsultationwith
boarddirectors.
D. Charterschooladministratorand/orstaffactontheirownwithinpreviousboard
policies.

IssuesAndTasks
1.
2.
3.
4.
5.

Missionstatementfororganization
Formalannualgoalsandobjectives.
Recruitmentofnewboarddirectors.
Boardandcommitteestructure.
Policyregardingboardroleand
activities.
6. Hiringandsalariesofstaffotherthan
charterschooladministrator.
7. Changesinbylawstokeepcurrent.
8. Annualincomeandexpensebudget.
9. Budgetamendmentsasrequired.
10.Capitalexpenditures.
11.Staffcompensationpolicies.
12.Otherpersonalpoliciesandpractices.
13.Investmentpolicies.
14.Arrangementsforexternalaudit.
15.Fundraisingplanandpolicies.
16.Adoptionofnewprogramsorservices.
17.Terminationofcurrentprogramsor
services.
18.Stafforganizationalstructure.
19.Organizationsinsuranceprogram.
20.Boardmeetingagendas.
21.Other:

IsNow

ShouldBe

200

201

YWCAGlobalCareerAcademy
JobDescription
Position:ManagingAdministrator

TheManagingAdministratorwillhavetheoversightoftheYWGCAwithdirectsupervisionofthefiscaloperation,
organizationalmanagementandemployment,includingthefollowingthreefocusareas:

Instruction:
Promoting,motivatingandmaintainingaproductive,creativeandcaringatmosphereinwhichevery
studentcanexperiencesuccess.

Performance:
Fosteringanenvironmentwherestudentsandstaffarechallengedtoreachtheirgreatestpotential.

Evaluation:
SecuringandcompilingdatatodetermineifYWGCAsvision,mission,goals,andoutcomeobjectives
arebeingmet.

TheManagingAdministratorreportsdirectlytotheYWCAChiefProgramOfficer

QUALIFICATIONS:

1. Mastersdegreeineducationoranequivalentdegreefromanaccreditedinstitution.
2. Atleast4yearsexperienceinadministration,supervisionandclassroomteachingexperience.
3. Understandsthechangingandcreativeenvironmentthatleadstoacademicexcellence.
4. Acommitmenttotheethicalstandardsofpersonnelpracticesandwillingnesstocontinualprofessional
development.
5. Highdegreeofpersonalandprofessionalintegrity.
6. Positiveskilldevelopmentininterpersonalrelationshipswithadultsandchildren.
7. Experienceinfunddevelopmentandgrantwriting.
12. BeliefintheYWCAsOneImperative:TheYWCA,locallyandnationally,hasadoptedtheOneImperativeof
thrustingourcollectivepowertowardtheeliminationofracismwhereveritexistsandbyanymeansnecessary.
13. Basicunderstandingofandcommitmenttototalqualitymanagementroleandtechniques.
14. DemonstratedexperienceinimplementingBestManagementpractices,toinclude:strategicplanning,customer
serviceandstaffdevelopment.
15. ComputerliterateinMicrosoftWord,Excelandemail.
8. Validdriverslicenseandreliablecar.
9. Experienceinbudgetdevelopmentandfinancialmanagement.
10. Experienceininterpretationofstatisticaldata.
11. Experienceinintegratededucationandchildandfamilysupportsystems.
12. Mustpossessthefollowingcharacteristics:
a) Likeallchildren
b) Enjoyworkingwithallchildren
c) Believeallchildrencanlearn
d) Innovativecreativethinker
e) Flexible,adaptive
f) Solutionorientedproblemsolver
g) Global,worldview

202

DIRECTRESPONSIBILITIES:
1. ResponsibleforeveryaspectoftheCharterschooloperationandistheprimaryfigureindeterminingtheschools
qualityandcharacter.
2. Establishandimplementthecharterschoolsongoingstrategicplanningprocess.
3. Responsibleforinsuringthattheideas,people,andprocessesneededtomakethecharterschoolthemost
meaningfulentrepreneurshipeducationalexperienceintheworldareinplaceandoperatingatworldclass
standards.
4. Establishaschoolculturebasedoncaring,concern,trustandsupportfor
allstudentsenrolled
inthecharter
school.
5. Establishaneducationalculturebasedoncaring,concern,trustandsupport
foralleducatorsandstaff
inthe
charterschool.
6. ServeastheheadofthecharterschoolsExecutiveCouncil.
7. Inspiretheeducationalteamstobecomeimmersedintheschoolsmissionanddedicatedtoitsattainment.
8. Responsibleforthedesignanddeliveryofeverystudent,educator,staff,parentandcommunityeducational
programcarriedoutbythecharterschool.
9. Ensureandpromoteprofessionaldevelopmentforeducatorsandstaffandencourageattendanceatworkshops
andotherdevelopmentalactivities.
10. Responsibleforthedevelopmentofastrongrelationshipwithparents,civicleaders,themedia,community
organizations,businesses,volunteers,otheradministratorsandthecharteringauthority.
11. Responsibleforreportingandcomplianceforallgovernmentregulatoryandfundingprograms.
12. Participateasteamplayerinalldecisionmakingprocessesatthecharterschool.
13. Developandsuccessfullymaintainallthecharterschoolpartnershipswiththecommunity,othereducationaland
socialserviceagencies,localbusinesses,foundations,etc.
14. Demonstrateexcellentinterpersonalskillstodevelopandmaintainfrequentrapportwithstudents,staff,parents,
community,businessandindustrypartnersandadministration.
15. Employeffectivecommunicationskillswithstudents,parents,andthecharterschooladministration.

COLLABORATIVERESPONSIBLITIES:

I.IncollaborationwiththeYWCAChiefProgramOfficer:
A. Responsiblefordevelopingandmaintainingrelationshipswithcharterschoolpartnersandpotentialexternal
stakeholders.
B. StafftheBoardofDirectorswhichmeetsonaregularlyscheduledbasis.
C. Settingthestandardsforqualityandcharacteroftheschool.

II.IncollaborationwiththeYWCAChiefProgramOfficerandtheExecutiveCouncil:
Establishallianceswithnationalandlocalorganizationswhichcanhelpusdeliverbetterprogramsforinternalaswell
asexternalstakeholders.

III.IncollaborationwithYWCAChie fsProgram,Marke ting&De ve lopme ntandPlanning&


PublicPolicyOffice rs:
Responsibleforallgovernment,foundation,corporate,andindividualfundraisingandsupport
.

IV.IncollaborationwithCoordinatorofLe arningSyste msandPlanning&PublicPolicy:


1.
2.

Researchanddevelopbenchmarksbywhichwecanmeasurethequalityofthecharterschoolseducational
strategies.
Developbenchmarksbywhichthequalityoftheentirescopeoftheservicesofferedbythecharterschoolcan
bemeasured.

203

204

EXCELPrincipalEvaluationForm

TheEXCELWorkbookandFormincludedhereweredevelopedincollaborationwithChicagoPublic
Schoolsprincipals,board(orlocalschoolcouncil)members,administratorsandothers.The
WorkbookandFormareonepieceoftheevaluationandperformanceplanningcontinuum.Aspartof
theproject,participatingpilotschoolsreceivetrainingonhowtousetheWorkbookandForm,and
individualizedconsultationfromprofessionalhumanresourceconsultants.Theyarealsoprovided
accessto
PerformancePro
,astateoftheartInternetbasedapplicationthatgivesprincipalsa
timesavingsystemtoplanandmonitorprogress,tokeepthemselvesandtheirschoolsoncourse,andto
reportbacktotheirboards.

WhatisGoodEvaluation?

EXCELsgoal
istoincreasethequalityofeducationalleadershipinChicagoPublicSchoolsby
developingandimplementingastandardsbasedprocessofprincipalevaluation.Byusingstandardsas
thebasisforevaluation,aprincipalsjobisclarifiedfortheevaluatingteam.Thiskeepsthefocuson
specificbehaviorsthatdetermineschoolsuccess,andavoidsdiscussionsoffeelings,impressionsand
personality.Thefollowingguidepostscanbehelpfultocharterandnoncharterschoolsalike,in
Chicagooranycity:

Goodevaluationsarefair.
Anyevaluationprocesscanbemisusedbutbetterformsand
trainingcanhelpminimizethatpossibility.Whilenoevaluationprocessislikedbyeveryone,pilot
principalsandtheirboardssaytheEXCELprocessisclearlyfairer.

Goodevaluationmeasureselementsthatdeterminesuccessfuleducational
leadership.
EXCELsstandardsbasedformat,with10specifickeybehaviorsforeach
standard,focusesonjustthoseelements.Thedescriptiveworkbookguidesprincipalsandboards
inmeasuringthoseelementsinprincipalactions.

Goodevaluationsupportsprincipalsperformance.
Thisevaluationprocess
determinesareasforimprovement,whichhelpstheprincipalfocusandplanforimprovement.

Realevaluationimprovescommunicationbetweentheprincipalandboard.
This
evaluationprocessprovidesaplatformforsharinginformationanddiscussingprincipal
responsibilitiesinaclearandwelldefinedway.

Goodevaluationhelpstheboardbetterunderstandtheprincipalsjob.
EXCEL
helpsboardsfocusonwhatsuccessfulprincipals
do
.Principalsandboarddirectorsdraftedthis
language,continuetorefineit,andsaythatithelpsthemfocusonconcreteexamplesinsteadof
feelingsandimpressions.

Usefulevaluationformsarewritteninstraightforwardlanguagewithclear
instructions.
Weareworkingtocreateaprincipalevaluationprocessthatisusefultoarangeof
localschoolboards.Wehavetriedtoavoideducationeseanddesignedasimpleratingscale.
205

Goodevaluationisayearroundactivity,notanendoftheyeargotchaor
letterofpraise.
EXCELencouragestheboardandprincipaltostarttheschoolyearorcontract
byreviewingtheevaluationformandagreeingonexpectationsandpriorities,andthencheckingin
onprogressregularlythroughouttheyear.

EXCELisaprojectofLeadershipforQualityEducation(LQE)abusinessbackedschoolreform
organizationinChicagothathasworkedforthelastdecadeonimprovinglocalschool
governance.LQEhasimplementedEXCELwiththeassistanceandexpertiseofMetamorphics,
aprivatesectorhumanresourceconsultingfirm.Metamorphicscreatedtheevaluation
workbookandform,designedPerformanceProandthenadaptedthatsoftwarespecificallythe
needsofChicagoschoolprincipals.

EXCELisacollaborativeeffortofthebusinesscommunity,LSCs,theChicagoPrincipalsand
AdministratorsAssociation,andtheChicagoPublicSchools.EXCELhasreceivedfundingfrom
theChicagoAnnenbergChallenge,PrinceCharitableTrusts,theLloydA.FryFoundation,and
TheJohnD.andCatherineT.MacArthurFoundation.

QuestionsonEXCELshouldbedirectedtoeitherJohnAyersatLeadershipforQuality
Education,3128531210orMikeZwellatMetamorphics,3126639300.

206

PrincipalEvaluationForm

School:

Region:

LSCChair:

Signature:

Date:

Principal:

Signature:

Date:

ContractPeriod:

207

StandardsRatingSection

AftercompletingtheEvaluationWorkbook,pleasewritebelowthefinalratingsforeachofthesevenStandards:

1.SchoolLeadership

2.ParentInvolvementandCommunityPartnerships

3.StudentCenteredLearningClimate

4.ProfessionalDevelopmentandHumanResourceManagement

5.InstructionalLeadership:ImprovingTeachingandLearning

6.SchoolManagementandDailyOperations

7.InterpersonalEffectiveness

Reminder:UsetheEvaluationWorkbooktohelpyoudeterminearatingforeachoftheStandards.

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby

208


LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

209

PerformanceM easuresRatingSection

UsingthePerformanceMeasuresDataSheet(tobedistributedseparately),
circletheappropriate
rating
forreadingtestscores,mathtestscores,attendancerate(elementary&highschools),dropout
rate(highschools),andgraduationrate(highschools).(Refertopages1112intheEvaluation
Workbookforthecriteriathatwereusedtoestablishtheratings.)

TestScoresOverallRating

ElementarySchools:ITBS
Reading:

Math:

Exceeds

Meets

DoesNotMeet

Exceeds

Meets

DoesNotMeet

Exceeds

Meets

DoesNotMeet

Exceeds

Meets

DoesNotMeet

Exceeds

Meets

DoesNotMeet

Exceeds

Meets

DoesNotMeet

Exceeds

Meets

DoesNotMeet

HighSchools:TAP
Reading:

Math:

OtherMeasures

AttendanceRate
:

(elementaryandhighschools)

DropoutRate:
(highschoolsonly)

GraduationRate:
(highschoolsonly)

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

210


EXCEL

E
valuatione
X
pertisefor
C
ouncilsand

E
ducational

L
eaders

FORSPRING2000
USE

EvaluationWorkbook

WorksheetstocompletethePrincipalEvaluationForm

School:

Region:

LSCChair:

Signature:

Date:

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

211

212

Principal:

Signature:

Date:

ContractPeriod:

213

EXCELisaprojectofLeadershipforQualityEducation(LQE).
Thepilotisacooperativeeffortofthebusinesscommunity,theChicagoPrincipalsandAdministrators
Association,LocalSchoolCouncils,andtheChicagoPublicSchools.Introduction

ThisprincipalevaluationprocessevaluatesprincipalsonsevenStandardsandseveralperformance
measures.

TheSevenPrincipalStandards
EachStandardrepresentsoneaspectofaprincipalsjobthatisimportanttoschoolsuccess.The
StandardsweredevelopedfromtheFiveEssentialSupportsandthestateStandardsforSchool
Leaders,andlinktotheChicagoPrincipalandAdministratorsAssociationsprofessionaldevelopment
programs.

ThisworkbookcanhelpyoudecidetheappropriateratingforeachStandard.Theworkbookcontains
onepageforeachStandard.Eachpageincludes:

A
definition
oftheStandard.

Twoorthree
Categories
undertheStandard.

Asetof
KeyBehaviors
foreachCategorythatdescribeactionsthatdemonstrateskillina
Standard.

Anumbered
ratingscale
withbehavioraldescriptionsforeachrating.

Pe rformance Me asure s

LSCswillreceiveasetofschooldatatousetoevaluateperformancemeasures.
Testscoresareevaluatedbyratingthreeareas:

AbsoluteScore

Averagegainover1year

Trendovertime

Theratingsofthesethreeareaswillbeaddedtodeterminetheoverallrating(Exceeds,
Meets,andDoesNotMeet).Forfurtherexplanation,seetheperformancemeasures
worksheetatthebackofthisworkbook(pp.1112).Note:duetothelackofhistoricaldata
th
for10
gradeTAPscores(usedtomeasuregainandtrend),highschoolswillonlyevaluate
absolutescoresuntilthisdatabecomesavailable.
214

Attendancerate(elementaryandhighschools),dropoutrate(highschools),andgraduationrate
(highschools)areevaluatedbasedonthecurrentratecomparedtotheamountofimprovement
fromthepreviousyear.LookuptablesareavailableatthebackofthisworkbooktohelpLSCs
determinehowtheratingwasachieved.

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

215

Aftercompletingthisworkbook,pleasetransferthefinalratings
forthestandardsandperformancemeasures
tothePrincipalEvaluationForm(green).

216

SchoolLeadership
Definition:

Leadstheschoolbybuildinghighperformingteams,responsiblymanagingworkand
people,andenlistingothersintheschoolvision.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstrated,usingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

1 6 15 4

Category:BuildsHighPerformingTeams
Encouragesandrespondstoinputfromteammembers
Workswithstaffandstudentstoestablishandbuildteamswithinthe
school
Helpstheteamsetinspiringgoals
Focusestheteamonachievingspecific,measurableresults
Category:CoordinatestheWorkofOthers
WorksinclosepartnershipwiththeLSC
Clearlysetsandcommunicatesexpectationsandtimelines
Delegatesresponsibilityandtaskswell
Category:ImplementstheVision
Developstheschoolvisionwithstakeholders(forexample:LSC,parents,
staff,andcommunitymembers)
Identifieswheretheschoolisnotachievingthevisioncreatesand
implementsplanstoaddressproblems
Communicatesanddemonstratesaclearpersonalvisionforimproving
theschool
TotalforEachColumn(Addthepointsineachcolumn)

=TotalofKeyBehaviorRatings

10=
4.0]

[Addthe4columntotals]

AverageRating
[Between0and

217


Refertotheratingscalebelowand
c ircle
theratingnumberthatequalsyour
AverageRating
.Ifyour
ratingisanumberlike2.6thatfallsbetweentworatings,readthedescriptionoftheratingabove2.6(the
ratingfora3)andthedescriptionoftheratingbelow2.6(theratingfora2)andcircletheratingwhose
descriptionbestfits.(Forexample,a2.6canbechangedtoeithera2ora3).Thisistheratingfor
School
Le ade rship
.
RatingScaleforSchoolLeadership:
4 Excellent
Hasatrackrecordofsuccessfulschoolleadershipbyconsistentlybuildinghigh
performingteams,delegatingresponsibility,andimplementingtheschoolvision.
3 Good
Oftendemonstratesschoolleadership,butissometimesnotstrong

a tbuilding
highperformingteams,delegatingresponsibility,andimplementingtheschool
vision.
2 Fair
Sometimesshowsbasicschoolleadershipskillsbutisoftenineffectiveat
buildinghighperformingteams,delegatingresponsibility,andimplementingthe
schoolvision.
1 Unsatisfactory Rarelyleadstheschool,andisnoteffectiveatbuildinghighperformingteams,
delegatingresponsibility,andimplementingtheschoolvision.

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

218

SchoolLeadership
Definition:

Leadstheschoolbybuildinghighperformingteams,responsiblymanagingworkand
people,andenlistingothersintheschoolvision.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstrated,usingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

BuildsHighPerformingTeams
Encouragesandrespondstoinputfromteammembers
Workswithstaffandstudentstoestablishandbuildteamswithinthe
school
Helpstheteamsetinspiringgoals
Focusestheteamonachievingspecific,measurableresults
CoordinatestheWorkofOthers
WorksinclosepartnershipwiththeLSC
Clearlysetsandcommunicatesexpectationsandtimelines
Delegatesresponsibilityandtaskswell
ImplementstheVision
Developstheschoolvisionwithstakeholders(forexample:LSC,parents,
staff,andcommunitymembers)
Identifieswheretheschoolisnotachievingitsvisioncreatesand
implementsplanstoaddressproblems
Communicatesanddemonstratesaclearpersonalvisionforimproving
theschool

TotalforEachColumn(Addallthenumbersineachcolumn)

=TotalofKeyBehaviorRatings

10=
4.0]

[Addthe4columntotals]

AverageRating
[Between0and

219


Refertotheratingscalebelowand
c ircle
theratingnumberthatequalsyour
AverageRating
.Ifyour
ratingisanumberlike2.6thatfallsbetweentworatings,readthedescriptionoftheratingabove2.6(the
ratingfora3)andthedescriptionoftheratingbelow2.6(theratingfora2)andcircletheratingwhose
descriptionbestfits.(Forexample,a2.6canbechangedtoeithera2ora3).Thisistheratingfor
School
Le ade rship
.
1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

220


RatingScaleforSchoolLeadership:
4 Excellent
Hasatrackrecordofsuccessfulschoolleadershipbyconsistentlybuildinghigh
performingteams,delegatingresponsibility,andimplementingtheschoolvision.
3 Good
Oftendemonstratesschoolleadership,butissometimesnotstrong

a tbuilding
highperformingteams,delegatingresponsibility,andimplementingtheschool
vision.
2 Fair
Sometimesshowsbasicschoolleadershipskillsbutisoftenineffectiveat
buildinghighperformingteams,delegatingresponsibility,andimplementingthe
schoolvision.
1 Unsatisfactory Rarelyleadstheschool,andisnoteffectiveatbuildinghighperformingteams,
delegatingresponsibility,andimplementingtheschoolvision.

221

ParentInvolvementandCommunityPartnerships
Definition:

Collaborateswithfamiliesandcommunitymembers,respondstodiversecommunity
interestsandneeds,andusescommunityresources.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstrated,usingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

ParentInvolvement
Createsprogramsthataddressparentneeds
Ensuresthatparentshaveaccesstoteachers
Removesobstaclesforparentstogetinvolvedatschool
Encouragesparentparticipationinschoolprograms
Communicatesregularlytoparentswhatishappeningattheschool
CommunityPartnerships
Createseffectivepartnershipswithbusinessesandcommunity
organizations/institutions
Enlistshelpfromthebusinesscommunityfortheschool
Makesthecommunityfeelwelcome
Establishesrelationshipswithcommunityleaders,LSCmembers,and
areaschools
Invitesfeedbackfromthecommunity
TotalforEachColumn

=TotalofKeyBehaviorRatings

10=
[Addthe4columntotals]

AverageRating
[Between0

and4.0]

Re fe rtothe ratingscale be lowand


c ircle
the ratingnumbe rthate qualsyour
AverageRating
.If
yourratingisanumbe rlike 2.6thatfallsbe twe e ntworatings,re adthe de scriptionofthe rating
above 2.6(the ratingfora3)andthe de scriptionofthe ratingbe low2.6(the ratingfora2)and
circle the ratingwhose de scriptionbe stfits.(Fore xample ,a2.6canbe change dtoe ithe ra2or
a3).Thisisthe ratingfor
P arentInvolvementandCommunityPartnerships
.

222

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

223


RatingScaleforParentInvolvementandCommunityPartnerships:
4 Excellent
Hasatrackrecordofsuccessfullyinvolvingparentsandcreatingcommunity
partnershipsbyconsistentlyprovidinghelpfulparentprograms,makingparents
andcommunityfeelwelcome,andestablishingrelationshipswiththe
community.

3 Good

Often

involvesparentsandcreatescommunitypartnerships,butissometimes
notstrongatprovidinghelpfulparentprograms,makingparentsand
communityfeelwelcome,and/orestablishingrelationshipswiththe
community.

2 Fair

1 Unsatisfactory

Sometimesinvolvesparentsandcreatescommunitypartnerships,butisoften
ineffectiveduetoweaknessinprovidinghelpfulparentprograms,making
parentsandcommunityfeelwelcome,and/orestablishingrelationshipswiththe
community.
Rarelyinvolvesparentsandcreatescommunitypartnerships,andisnot
effectiveatprovidinghelpfulparentprogramsandmakingparentsand
communityfeelwelcome.

224

StudentCenteredLearningClimate
Definition: Createsandmaintainsaschoolenvironmentthatfocusesonstudentsandemphasizeshigh
academicexpectations,personalism,caring,disciplineandorder.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstrated,usingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

HighAcademicExpectations

Workswithgroups(suchastheProfessionalPersonnelAdvisoryCommittee[PPAC],theProfessional
ProblemsCommittee[PPC],staff,andothercommittees)tosetandcommunicatehighacademic
expectations

Creativelydevelopswaystorecognizeandrewardstudentseffort,
success,andachievement
Helpsteacherssethighexpectationsforthemselvesandtheirstudents
PersonalismandCaring
Createsanatmosphereofrespectamongstudents
Helpsstudentsandstaffformproductiveandrespectfulrelationships
Ensuresthatstafffeelrespected,valued,andimportant
DisciplineandOrder
Developsandimplementsaplantomaintainand/orincreasestudent
attendance
Implementspoliciesandproceduresconsistentlyandresponsiblytohelp
ensureanenvironmentthatissafe,stable,andconducivetolearning
Followsschooldisciplinecodeandsecurityplan
Createsaschoolenvironmentthatsupportsstudentsthroughcrisisand
otherchallenges
TotalforEachColumn

=TotalofKeyBehaviorRatings

10=
[Addthe4columntotals]

AverageRating
[Between0

and4.0]

225


Re fe rtothe ratingscale be lowand
c ircle
the ratingnumbe rthate qualsyour
AverageRating
.If
yourratingisanumbe rlike 2.6thatfallsbe twe e ntworatings,re adthe de scriptionofthe rating
above 2.6(the ratingfora3)andthe de scriptionofthe ratingbe low2.6(the ratingfora2)and
circle the ratingwhose de scriptionbe stfits.(Fore xample ,a2.6canbe change dtoe ithe ra2or
a3).Thisisthe ratingfor
CreatingaStudentCenteredLearningClimate
.
1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

226


RatingScalefor

CreatingaStudentCenteredLearningClimate
:
4 Excellent
Hasatrackrecordofcreatingastudentcenteredclimatebysettingand
communicatinghighacademicexpectations,creatinganatmosphereofrespect
andcaring,andmaintainingdisciplineandorder.

3 Good

Oftensuccessfullycreatesastudentcenteredclimate,butissometimesnot
strongatsettingandcommunicatinghighacademicexpectations,creatingan
atmosphereofrespectandcaring,and/ormaintainingdisciplineandorder.

2 Fair

Sometimescreatesastudentcenteredclimate,butis

oftenineffective

duetoan
inabilitytosetandcommunicatehighacademicexpectations,createan
atmosphereofrespectandcaring,and/ormaintaindisciplineandorder.
Rarelycreatesastudentcenteredlearningclimate,andisnoteffectiveat
settingandcommunicatinghighacademicexpectations,creatinganatmosphere
ofrespectandcaring,and/ormaintainingdisciplineandorder.

1 Unsatisfactory

227

ProfessionalDevelopmentandHumanResourcesManagement
Definition: Encouragesprofessionaldevelopment,recruitsandselectsoutstandingstaff,and
effectivelysupervisesteachersandstaffinordertoimprovestudentlearningandacademic
achievement.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstrated,usingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

ProfessionalDevelopment
Encouragesteacherstoparticipateinstaffdevelopmentandprovides
themwiththemeanstodoso
Demonstratesacommitmenttocontinuallyimprovehis/herknowledge,
skills,andcapabilities
Developsandutilizesthehumanresourceskillsneededtomanage
teachersandstaff
AlignsprofessionaldevelopmentwiththeSIPAAAgoals
RecruitmentandHiring
Attracts,hires,andsupportsexcellentteachersandstaff,withinthe
guidelinesofCPS
InvolvesstaffandanyLSCpersonnelcommitteeinrecruiting,hiring,and
supportingnewteachersandstaff
TeacherObservationandInstructionalSupervision
Engagesteachersingoalsettingtoimproveclassroompractice
Regularlyreviewsandrevisesexpectationsofteacherperformance
Providesconstructivefeedbacktoteachersonaregularbasis
Evaluatesteachersandstaffbasedoncompetenceandproductivity
TotalforEachColumn

=TotalofKeyBehaviorRatings

10=
[Addthe4columntotals]

AverageRating
[Between0

and4.0]

228

Refertotheratingscalebelowand
c ircle
theratingnumberthatequalsyour
AverageRating
.Ifyour
ratingisanumberlike2.6thatfallsbetweentworatings,readthedescriptionoftheratingabove2.6(the
ratingfora3)andthedescriptionoftheratingbelow2.6(theratingfora2)andcircletheratingwhose
descriptionbestfits.(Forexample,a2.6canbechangedtoeithera2ora3).Thisistheratingfor
Profe ssionalDe ve lopme ntandHumanRe source sManage me nt
.
1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

229

RatingScalefor

ProfessionalDevelopmentandHumanResourcesManagement
:
4 Excellent
Hasatrackrecordofpromotingprofessionaldevelopmentandmanaging
teachersandstaffbyconsistentlydemonstratingacommitmentto
selfimprovement,encouragingotherstodevelop,providingfeedback,and
reviewingexpectationswithstaff.
3 Good
Oftensucceedsatpromotingprofessionaldevelopmentandmanagingteachers
andstaff,butissometimesnotstrongatselfimprovement,encouragingothers
todevelop,providingfeedback,and/orreviewingexpectationswithstaff.
2 Fair
Sometimessucceedsatpromotingprofessionaldevelopmentandmanaging
teachersandstaffbydemonstratingacommitmenttoselfimprovement,
encouragingotherstodevelop,providingfeedback,and/orreviewing
expectationswithstaff.
1 Unsatisfactory Rarelysucceedsatpromotingprofessionaldevelopmentandmanagingteachers
andstaff,andisnoteffectiveatdevelopingselforstaff.

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

230

InstructionalLeadershipImprovingTeachingandLearning
Definition: Promotesthesuccessofallstudentsbycreatinganinstructionalprogramthatcontinually
strivestoimproveteachingandlearning.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstrated,usingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

Assessment
Evaluatesstudentlearningusingavarietyoftechniquesandsourcesof
information
Analyzesandcommunicatesdataaboutstudents,staff,andcommunity
Usesschoolandstudentdatatocreateprogramsthatareappropriateto
thestudents
Usesschooldatatomonitortheinstructionalprogram
Curriculum
SupportstheProfessionalPersonnelAdvisoryCommittee(PPAC)and/or
otherstaffcommitteestodevelopcurriculum
Usesresearch,teacherexpertise,andrecommendationsfromacademic
organizationstomakecurriculumdecisions
Workswithstafftoaligncurriculumwithcityandstatestandards
Instruction
Monitorsinstructionacrossclassroomsandtheschool
Supportsandpromotesinnovativeteachingmethodsandencourages
teacherstopilotappropriateinnovativeprogramstoengagestudents
Providesprogramstomeettheneedsofspecialeducationandlimited
Englishproficientstudents
Totalforeachcolumn

=TotalofKeyBehaviorRatings

10=
[Addthe4columntotals]

AverageRating
[Between0

and4.0]

231


Re fe rtothe ratingscale be lowand
c ircle
the ratingnumbe rthate qualsyour
AverageRating
.If
yourratingisanumbe rlike 2.6thatfallsbe twe e ntworatings,re adthe de scriptionofthe rating
above 2.6(the ratingfora3)andthe de scriptionofthe ratingbe low2.6(the ratingfora2)and
circle the ratingwhose de scriptionbe stfits.(Fore xample ,a2.6canbe change dtoe ithe ra2or
a3).Thisisthe ratingfor
InstructionalLeadershipImprovingTeachingandLearning
.
1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

232


RatingScalefor

InstructionalLeadershipImprovingTeachingandLearning:
4 Excellent
Hasatrackrecordofimprovingteachingandlearningbygettinginputon
curriculum,supportingavarietyofteachingmethods,andcreatinglearning
programsthatareappropriatetothestudents.

3 Good

Oftensuccessfullyimprovesteachingandlearning,butissometimesnotstrong
atgettinginputoncurriculum,supportingavarietyofteachingmethods,
and/orcreatinglearningprogramsthatareappropriatetothestudents.

2 Fair

Sometimesimprovesteachingandlearning,butisoftenineffectiveatgetting
inputoncurriculum,supportingavarietyofteachingmethods,and/orcreating
learningprogramsthatareappropriatetothestudents.
Rarelyimprovesteachingandlearning,anddoeslittletopromotestudent
success.

1 Unsatisfactory

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

233

SchoolManagement&DailyOperations
Definition:

Managesschoolresourcesandfacilitieseffectively,usesknowledgeofpoliciesand
procedurestomakesounddecisions,andensurestheefficientoperationoftheschool.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstrated,usingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

DailyOperations
Supervisespersonnelandresourcestoensurefacilitiesmanagement
Organizesschoolresourcestoaddressinstructionalneeds
Implementspoliciesandprocedures(suchasdevelopingschedules)to
ensuresmoothdailyoperationsthatpromotethemutualrespectofstaff
andstudents
Usesavailabletechnologytoimproveschooladministrationand
operations(suchasattendanceandbudgets)
Maintainshighstandardsandactstoensureacleanschool
FiscalManagement
Managesthebudgetandspendsfundsresponsiblyandinatimelymanner,
andtiesthebudgettoinstruction
Securessupplementalfunding(suchasgrants,discretionaryfunds)from
outsidesourcestoenhanceschoolprograms
CoordinatesthebudgetandresourceswiththeSIPAAA
Ensuresfiscalpoliciesarefollowed
ProvidestheLSCwithbudgetreportsandfinancialinformationona
regularbasis
TotalforEachColumn

=TotalofKeyBehaviorRatings

10=
[Addthe4columntotals]

AverageRating
[Between0

and4.0]

234


Refertotheratingscalebelowand
c ircle
theratingnumberthatequalsyour
AverageRating
.Ifyour
ratingisanumberlike2.6thatfallsbetweentworatings,readthedescriptionoftheratingabove2.6(the
ratingfora3)andthedescriptionoftheratingbelow2.6(theratingfora2)andcircletheratingwhose
descriptionbestfits.(Forexample,a2.6canbechangedtoeithera2ora3).Thisistheratingfor
School
Manage me nt&DailyOpe rations
.
1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

235


RatingScaleforSchoolManagement&DailyOperations:

4 Excellent

Hasatrackrecordofensuringsuccessfulschooloperationbyconsistently
managingthebudgetandensuringthesafeandefficientoperationofthe
school.

3 Good
2 Fair
1 Unsatisfactory

Oftensucceedsatmanagingschoolresourcesanddailyoperations,butis
sometimesnotstrongatmanagingthebudgetand/orensuringthesafeand
efficientoperationoftheschool.
Sometimessucceedsatmanagingschoolresourcesanddailyoperations
effectivelybutisoftenineffectiveatmanagingthebudgetand/orensuringthe
safeandefficientoperationoftheschool.
Rarelymanagesschoolresourcesordailyoperationseffectively,andisnot
effectiveatmanagingthebudgetand/orensuringthesafeandefficient
operationoftheschool.

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

236

InterpersonalEffectiveness
Definition:

Communicateswellwithdiversegroupsbyunderstandingandrespondingtotheir
values,goals,needs,concerns,feelings,andagendas,resolvesconflictsproductively,
andengagesothers,asappropriate,indecisionmaking.

Instructions

PleaseratehowfrequentlythefollowingKeyBehaviorsaredemonstratedusingtheratingscalebelow.
Circletheratingnumberthatismostaccurate.IfyouareunabletorateaKeyBehavior,pleasereferto
theappendixforsourcestohelpyoufindmoreinformation.

KeyBehaviorRatingScale:

1=Rarely(Almostnever)
2=Occasionally(Everynowandthen)

3=Often(Usually)
4=Mostofthetime

(Almostalways)

Communication
Confrontsandresolvesproblemsinatimelymanner
Buildscollaboration,understanding,andrespectbetweendifferentgroups
(LSC,staff,parents,teachers,students,andcommunity)
Effectivelyrespondstotheconcernsofparentsandcommunitymembers
ResolvesconcernsandissuesoftheLSC,parents,teachers,staff,
students,andcommunitywhenappropriate
Useswrittencommunicationtoeffectivelycommunicatewithdifferent
groups
InterpersonalSensitivity
Communicatesanunderstandingofotherspointsofview,includingthe
LSC,students,staff,parents,andcommunitymembers
Maintainshonestyandintegrityindealingwithpeople
Honorsconfidencesandconfidentialinformation,withinthelimitsofthe
law
Followsthroughonpromisesandcommitments
Motivatesandinspiresstafftocontributetothesuccessoftheschool
TotalforEachColumn

=TotalofKeyBehaviorRatings

10=
[Addthe4columntotals]

AverageRating
[Between0

and4.0]

Refertotheratingscalebelowand
c ircle
theratingnumberthatequalsyour
AverageRating
.Ifyour
ratingisanumberlike2.6thatfallsbetweentworatings,readthedescriptionoftheratingabove2.6(the

237


ratingfora3)andthedescriptionoftheratingbelow2.6(theratingfora2)andcircletheratingwhose
descriptionbestfits.(Forexample,a2.6canbechangedtoeithera2ora3).Thisistheratingfor
Inte rpe rsonalEffe ctive ne ss
.
1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

238

RatingScaleforInterpersonalEffectiveness:
4 Excellent
Hasatrackrecordofsuccessfullyunderstandingandinteractingwithdiverse
groupsbyconsistentlycommunicatinganunderstandingofotherpointsofview,
respondingtoparentandcommunityconcerns,andfacilitatingcollaboration,
understandingandrespect.
3 Good
Oftenunderstandsandinteractseffectivelywithdiversegroups,butis
sometimesnotstrongatcommunicatinganunderstandingofotherpointsof
view,respondingtoparentandcommunityconcerns,and/orfacilitating
collaboration,understandingandrespect.
2 Fair
Sometimesinteractseffectivelywithgroups,butisoftenineffectiveat
communicatinganunderstandingofotherpointsofview,respondingtoparent
andcommunityconcerns,andfacilitatingcollaboration,understandingand
respect.
1 Unsatisfactory Rarelyinteractswithdiversegroups,andisseldomabletounderstandother
pointsofvieworrespondtoparentandcommunityconcerns.

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

239

Appendix
AdditionalSourcesofInformationforPrincipalEvaluation
InterviewQuestions
Oneofthebestresourcesforprincipalevaluationistheprincipal.IfthereareStandards,orKey
BehaviorsunderaspecificStandard,thatyouareunabletorate,asktheprincipalforspecificexamples
ofhows/hedemonstratesthisonthejob.

Anexampleofthetypeofquestionsyoucanask:

Tellmeaboutatimewhenyoueffectively(insertKeyBehaviorhere).
Whatwasyourrole?
Howdidyouapplyyourknowledgeandexperiencetothesituation?
Whatwerethedifficultiesyoufacedandhowdidyouovercomethem?
Whatdidyoulearnfromtheexperience?
Wheredidyouapplythatlearning?

Althoughthesequestionsmaysoundlikeaninterview,rememberthatyourfocusisonspecificexamples
andstoriesthatshowhowtheprincipalhasdemonstratedtheKeyBehaviororStandard.

AdditionalSourcesofInformation
IfyouarelookingforadditionalinformationonaspecificStandardorKeyBehavior,thefollowingmay
behelpfulsources:

Principalsportfolio

TheobjectivesoftheSchoolImprovementPlan(SIPAAA)

TheREOevaluationoftheprincipal

TheUniformPrincipalsPerformanceContract

TheSchoolReportCard

StudentDisciplineandAttendanceRecords

PrincipalBulletins

BudgetReports

SchoolVisitorsBook

LSCMinutes

Writtenmessagestothefaculty,students,orparents

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,and
Metamorphics,aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

240

PerformanceMeasuresRatingCriteria

ElementarySchools
Thefollowingtwopagesexplaintheperformancemeasuresratingsprovidedoneachschools
PerformanceMeasuresDataSheet
(tobedistributedseparately).Usingthenumbersprovidedon
thedatasheet,circleyourschoolsratingsineachofthecategories.Usethisinformationtodetermine
whatlevelofimprovementisnecessaryforyourschooltoincreaseitsrating.
Theresultsfromthe
PerformanceMeasuresDataSheet

mustbetransferredtotheEvaluationForm(green).

241

READINGITBS
AbsoluteScore:
Exceeds
Atorabove50%ofstudentsator
abovenationalnorms

Meets
20%49.9%ofstudentsator
abovenationalnorms

DoesNotMeet
Below20%ofstudentsatorabove
nationalnorms

Meets
1.0growthover1year

DoesNotMeet
Lessthan1.0growthover1year

AverageGains:
Exceeds
Morethan1.0growthover1year

TestScoreTrend(4yearMovingAverage):
Exceeds
Meets
Upwardtrend(gettingbetter)
Flattrend(stayingthesame)

AbsoluteScore:
Exceeds
Atorabove50%ofstudentsator
abovenationalnorms

DoesNotMeet
Downwardtrend(gettingworse)

MATHITBS
Meets
20%49.9%ofstudentsator
abovenationalnorms

DoesNotMeet
Below20%ofstudentsatorabove
nationalnorms

Meets
1.0growthover1year

DoesNotMeet
Lessthan1.0growthover1year

AverageGains:
Exceeds
Morethan1.0growthover1year

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,andMetamorphics,
aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

242


TestScoreTrend:
Exceeds
Upwardtrend(gettingbetter)

Meets
Flattrend(stayingthesame)

DoesNotMeet
Downwardtrend(gettingworse)

OVERALLRATING
TheoverallratingforReadingandtheoverallratingforMathwascalculatedbycombiningtheindividual
ratingsineacharea(absolutescore,gain,andtrend).Keepinmindthateachofthethreeseparatearea
ratingscarriesequalweight.

Ratingsfor:AbsoluteScore+Gain+Trend
Math

OverallRatinginReadingor

AratingofExceedsinatleast2ofthe3areas

Exceeds

AratingofMeetsinatleast2ofthe3areas

Meets

AratingofDoesNotMeetinatleast2ofthe3areas

DoesNotMeet

Aratingof1Exceeds,1Meets,and1DoesNotMeet

Meets

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,andMetamorphics,
aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

AttendanceRateLookupTableforElementarySchools

Thistableshowsyouhowyourschoolsratingonattendancewasdetermined.Usingthenumbers
providedonyour
PerformanceMeasuresDataSheet
(tobedistributedseparately),findyour
attendancerateinoneoftheboxesinthetoprowandtheamountofimprovementfromtheprevious
yearinoneoftheboxesinthelefthandcolumn.Nextdrawalinedownfromtheattendancerateand
acrossfromtheimprovementuntiltheymeet.Thewordinthecorrespondingboxisyourratingon
attendance.

ATTENDANCERATE

Amountof
Improvement

Below91%

91%to91.9%

92%to92.9%

93%to93.9%
243

94%to


Greaterthan1%
0.5%to.99%
0to0.49%
0.5%to0
1.0%to0.49%
Morethan1%

Meets
DoesNot
Meet
DoesNot
Meet
DoesNot
Meet
DoesNot
Meet
DoesNot
Meet

Meets

Meets

Exceeds

Exce

Meets

Meets

Meets

Exce

Meets

Meets

Me

Meets

Me

Meets

Me

Meets

Me

DoesNot
Meet
DoesNot
Meet
DoesNot
Meet
DoesNot
Meet

DoesNot
Meet
DoesNot
Meet
DoesNot
Meet

1999byMetamorphicsandLeadershipforQualityEducation(LQE).Anyuseofthismaterialwithoutthe
expressed,writtenconsentofMetamorphicsandLQEisprohibitedbylaw.
EXCELmaterialsweredevelopedby
LeadershipforQualityEducation,abusinessbackedschoolreformorganizationinChicago,andMetamorphics,
aprivatesectorhumanresourcesconsultingfirmbasedinChicago.

244

19971998
JeffersonAcademy
JuniorHigh
PrincipalEvaluation

ScoringGuide:
5 Alwaysexceedsexpectations
4 Sometimesexceedsexpectations
3 Meetsexpectations
2 Sometimesmeetsexpectations
1 Doesnotmeetexpectations
N/O NotObserved

Evaluator___________
Date_______________

CurriculumandProgramGuidance

EnsuresthatexpectationshavebeenestablishedfortheuseoftheCore
Knowledgeandothercurriculumandthatstaffmembersareusingthese
standardsasthebasisforinstruction

N/O

ProvidesstaffdevelopmentthatpreparesstafftousetheCore
Knowledgeandothercurriculum

N/O

245


IspreparedtoarticulateJeffersonJuniorHighsvisionforand
5
implementationoftheCoreKnowledgeandothercurriculumtobothstaff
andcommunity

N/O

Documentsthatexpectationshavebeenestablishedforandarebeingmet 5
bystaffmembersregardingstudy,use,andimplementationof
assessmentsofstudentachievement.

N/O

Encouragescooperation,coordinationofinstruction,andteamwork
5
amongstafftosupporttheschoolscontentbasededucationalphilosophy

N/O

Workswithstafftoensurethattheappropriateamountofhomeworkand 5
extracurricularassignmentsaregiventosupporttheschoolsphilosophy
ofacademicrigor

N/O

Looksforwaystoimprovethequalityoftheprogram

N/O

Workstoencouragethedevelopmentofawellroundedstudentthrough
instructionacademics,athletics,thearts,andcharacterdevelopment

N/O

Seeksmethodstomeettheacademicneedsofallstudentsand
communicateseffectivelywithstafftoseetheseplansareimplemented

N/O

Workswithstafftoensureafairandconsistentgradingsystemforand
assessmentofeachstudent

N/O

DemonstratescommitmenttoJeffersonJuniorHighsvisionofsuccessfor 5
allstudents

N/O

Overseesandmonitorsthespecialeducationstaffensuringtheintegration 5
ofthespecialedprogramandcompliancewithspecialedlaws

N/O

Comments:

IntegrationofTechnology
246

Hasestablishedandmonitorsaschooltechnologyplan

N/O

Allocatesadequatebudgetfundsfortechnologypurchasestosupportthe 5
technologyplan

N/O

Ensuresthatprovisionsforstaffdevelopmentandongoingtechnical
supportaccompanytechnologypurchases

N/O

Ensuresthatthestaffintegratestechnologywithinstructionandalignsthe
useoftechnologywiththecurriculum

N/O

Developsessentialskillsintheuseoftechnologyandmodelstheir
importancetothestaff

N/O

Communicatestheuseoftechnologyintheschool

N/O

CarriesouttheDisciplinePlanasestablishedintheJeffersonJuniorHigh
PoliciesHandbook

N/O

Providesopportunitiesandfunctionsthatencourageschoolspiritand
pride

N/O

Engenderscharacterdevelopmentinthestudent

N/O

Demonstratesacommitmenttotheschoolcommunitythrough
participationinschooleventsandfunctions

N/O

Comments:

SchoolEnvironment

247

Comments:

248

HumanRelations/PersonnelManagement

EvaluatesstaffinaccordancewithJeffersonJuniorHighSchoolBoard
policyandcontractlanguage

N/O

UsestheEvaluationStandardsasthebasisfortheevaluationprocess
adheringtothetimetableestablishedbytheBoardofDirectors

N/O

WorkscloselywiththeBoardsTeacherEvaluationCommitteeinhiring
andevaluatingstaff

N/O

DemonstratesstrongknowledgeofColoradoStatestatutesandJefferson 5
JuniorHighSchoolBoardpolicyastheypertaintotheresponsibilitiesof
schoolstaffandhiringpractices

N/O

Buildsasafeandcooperativestaffenvironment

N/O

Providesregularperformancefeedbacktostaffandmotivatesthemto
performwell

N/O

Promotesandempowerspersonalandprofessionalgrowthinselfand
staff

N/O

Delegatesresponsibilitiesappropriatelyandeffectively

N/O

Handlesstaffconflictinaprofessionalandtimelymanner

N/O

Workswellingroupproblemsolvingsituations

N/O

Includesstaffinplanning

N/O

Makeshimselfavailabletostafftohelpsolveproblems

N/O

Comments:

249

JobKnowledge

Demonstratesahighlevelofjobknowledgeandskills

N/O

Demonstratesknowledgeofhumandevelopmentandlearningtheories

N/O

DemonstratesahighlevelofknowledgeinCoreKnowledgeandother
curriculumandthecontentbasedmethodsofinstruction

N/O

Demonstratesahighlevelofknowledgeforauthenticstudentassessments 5
andunderstandshowtoencouragestudentstoreachmastery

N/O

Carriesoutthevision,mission,andphilosophyofJeffersonJuniorHighas 5
definedintheschoolStrategicPlan

N/O

DevelopslongrangeplansandsetsgoalsandobjectivesforJefferson
JuniorHighinaccordancewiththeguidelinesoftheBoard

N/O

Demonstratesstrongleadershipqualities

N/O

Inspiresrespectandtrustfromthestaffandschoolcommunity

N/O

Modelsandsupportsbehaviorsthatreflectcreativethinkingandeffective 5
problemsolving

N/O

Takesactiveandappropriatestepstoinstituteneededchangewithout
beingprompted,andmaintainseffortsuntilresolutionorcompletion

N/O

Comments:

Leadership

250

Comments:

ManagementandAdministration

Demonstratesaccuracy,thoroughness,andeffectiveuseoftime

N/O

Analyzesrelevantinformation,makesdecisions,delegatesresponsibility,
andprovidesappropriatesupportandfollowup

N/O

Usessoundjudgmenttoguidedailywork

N/O

Effectivelyusesavarietyofskillsandresourcestoaccomplishtasks

N/O

Effectivelydelegatesadministrativedutiestosupportstaff

N/O

Identifiesproblemsinatimelymannerandseekscorrectiveaction

N/O

Managescompetingdemands

N/O

Overseesandmanagesoperatingbudgeteffectively

N/O

Comments:

ProfessionalConduct

251


Collaborateswithcolleagues,parents,andcommunitymemberstofulfill
responsibilitiesrelatedtoDistrictandsitegoalsandpolicies

N/O

KeepscommunicationswithJeffersonCountySchoolDistrictopenand
handlescorrespondenceinatimelymanner

N/O

FollowstheguidelinesestablishedintheJeffersonJuniorHighContracts
andPolicieshandbook

N/O

Followsthe"OpenMeetings"guidelinesinregardtotheJeffersonJunior
HighBoard

N/O

Displayscommitmenttoprofessionalexcellence

N/O

Appliesfeedbacktoimproveperformance

N/O

Communicateseffectivelybyusingavarietyoftechniquesandsystems

N/O

Communicateseffectivelywithstudents,staff,parents,andcommunity
membersusingappropriatecommunicationmethods

N/O

Providesconsistentandtimelycommunicationtoparentsbywayofnews 5
letters,memos,orscheduledreports

N/O

Communicateschangestoschedulesinatimelymanner

N/O

ExhibitsgoodlisteningskillsandacceptsfeedbackfromBoard,staff,and 5
parents

N/O

Comments:

Communication

252


Communicationwiththeschoolcommunityexhibitsdiplomacyandsound 5
judgment

N/O

Advocatesforcharterschoolinthepublicarenawheneverpossible

N/O

OverseesandpresentsbudgetandfinancialreportstoJeffersonJunior
HighBoard

N/O

InteractswithandcommunicateswiththeBoardofJeffersonJuniorHigh
inaprofessionalandopenmanner

N/O

DocumentsandcommunicatesthegoalsandprogressofJeffersonJunior
HightotheBoard,District,andschoolcommunity

N/O

PresentsproposedprogramorcurriculumchangestotheBoardfor
approvalpriortoimplementationofsuchchanges

N/O

CommunicatesrelevantissuestotheBoardinatimelymanner

N/O

Providesarticulate,professional,andtimelyreportstotheDistrict

N/O

Considersandadherestoprovisionsofourchartercontractwiththe
District

N/O

Comments:

ReportingandBoardRelations

Comments:

253

254

BoardStaffTimeAndAttentionGraph
(Firstappearedin
TheTrusteeHandbook,SeventhEdition
,byMaryDeKuyper,publishedbytheNational
50
AssociationofIndependentSchools.Reprintedwithpermission. )

Policies
Governance

Mission
Strategy
Survival
Leadership

Partnership

Authorizations
FinancePolicies
Enrollment
EmploymentTerms

Operational

Staffing
Program
Systems

TimeandAttentionGraph

BoardsDecisions

Administrators
Advice

SharedDecisions:BoardandAdministrator

BoardsAdvice

CharterSchool

AdministratorsDecisions

Abovethediagonalline=allocationofboardstime
Belowthediagonalline=allocationofadministratorstime

50

HundleyDeKuyper,Mary,
TrusteeHandbook:AGuidetoEffectiveGovernanceforIndependentSchoolBoards
,
NationalAssociationofIndependentSchools,1998

255

ShouldStaffServeontheBoard?

(Excerptfrom:RobertC.AndringaandTedW.Engstrom,
NonprofitBoardAnswerBook
,NCNB)

"Asthebackboneoforganizations,theboardisaccountableforstewardshipofthepublicandcommunity
investmentintheircharitablemission.Forprofitcorporationsroutinelyputtheirpaidexecutivesontheirboards.
Nonprofitsneedtopursuegoodbusinesspractices,butthey'renotpursuingprofits.They'rechanginglivesand
providingservices.Inexchange,theyreceivecontributionsandtaxbenefits.Accountabilitytoourmajormoral
ownerssuggestsaseparationofpower,asetofchecksandbalancesthatcomesfromdistinguishingtheroleofthe
boardfromthatofthestaff.

Ingeneral,theonlystaffmemberwhomightbejustifiedtositontheboardisthechiefexecutive.Someadvocate
votingrightsforthechiefexecutivetoreflectatruepeerrelationshipwhileworkingwiththeboard.Othersbelieve
thechiefexecutiveshouldbeanonvotingboardmemberbecauseoftheinevitableconflictsofinterest.

Inouropinion,theidealmodelisavolunteerboardofcompetentandcommittedpeoplesettingpolicyand
overseeingtheworkofstaff.Asaboard,theyhaveoneagenttoimplementpolicy:thechiefexecutive.Inmanyof
theorganizationswithwhichwearefamiliar,however,thechiefexecutiveisalsoafullvotingmemberoftheboard.
Thereasonsforthispracticeinclude:

Thechiefexecutivewasafounderwhoincorporatedtheorganizationandhelpedrecruitthefirstboard
members.
Thechiefexecutiveis,byvirtueofageandexperience,atruepeeramongboardmembersandwantstobe
treatedassuch.
Anewchiefexecutiveinsistsonboardmembershipasaconditionofemployment.

Frankly,thesearenotstrongarguments.Afoundingchiefexecutiveshouldbebuildingaboardwhocouldfillthe
boardroleindependently.Thechiefexecutivewhodoesagoodjobshouldneverfeelinsecureorlookeddownupon
byboardpeersjustbecauseheorshedoesnotsitontheboard.

Considerthattheboardmembersareexpectedtovotetheirconsciencesoneveryaction.Thechiefexecutivesjobis
tosupporttheboardbyimplementingitsdecisions.Heorsheneedstomaintaintheconfidenceandtrustofthe
entireboard,buildingrelationshipsthatpromoteeffectiveinteraction.Whyputthechiefexecutiveinthepositionof
everhavingtovoteagainstanyboardmembers?

Welikethe"withoutvote"clauseinthebylawsforchiefexecutiveswhoaregivenaboardseat.Membershiponthe
boardshouldbeexofficiobyvirtueofpositionnotelected.Periodicallyvotingwhetherornotthechief
executiveshouldbeaboardmemberisnotthebestwaytosignalapprovalordisapprovalofjobperformance.Even
withoutavoteontheboard,mostchiefexecutiveshavefarmoreinfluenceoverboarddecisionsthantheymay
realize.Whenhandledwisely,thispowerfarexceedsmostboardmember'sabilitytoinfluenceboardpolicy.

Howdoesanovotepolicyforstaffaffectboardmembers?Itencouragesthemtotaketheirjobsmoreseriouslyand
preventsautomaticdeferraltotheviewsofstaff,whohavegreaterprogrammaticexperience.Theyviewtheir
chairmanasthekeyleader.Theycannotdependonstafftofillbothboardandstaffroles.Theylearnmoreeasilythe
distinctionbetweenboardworkandstaffwork.

Weshouldaddourstrongfeelingthatinnowayshouldseveralpaidstaffmembersbemembersoftheboard.In
additiontotheconcernswehavealreadyshared,here'sanother:boardmembershipforsomestaffbutnotforothers
createsdivisions.Whyshouldsomehaveauthorityovertheirpeersindecisionsaboutbudget,salariesandbenefits,
andprogrampriorities(Editor'snote:evenifsuchstaffservingasboardmembersarerecusedfromvotingonsuch
matters,asmembersoftheboardonewouldexpectthattheywouldhaveinfluence).Theboardcanbenefitfromthe
staff'sexperienceandperspectiveswithoutputtingthemontheboard."

256

Chapter8:BuildingStrongParentAndCommunityRelations

(Note:acompanionpiecetothisguidebookis
CharterSchools:CreatingFamilyFriendly
Institutions.
Accessthisonlineguideathttp://www.uscharterschools.org/gb/familyfriendly/)

CriticalBoardBuildingChallenge:Howdoesthecharterschoolboardmaintainstrong
parentandcommunityrelations?

Introduction

Historically,schoolshavebeenisolatedfromthecommunitiesthattheyserve.Inrecentyears,this
isolationhasbeguntobreakdownasschoolsrealizethatinordertosucceedineducatingchildren,they
needtobuildstrongrelationshipswiththeparentsoftheirstudentsandtheyneedtobeconnectedtothe
communitiesinwhichtheirstudentslive.

Buildingstrongrelationshipswithparentsandcommunityisanotherareainwhichcharterschoolboard
canplayacriticalrole.Thischapterwillexplorewaysforthecharterschoolboardtoforgestrong
relationshipswithparentsandthecommunity.Whilecharterschoolsaremakinggoodontheirpromise
tobringinginnovationtotheclassroom,thereisacontinuingneedtobeinnovativeinstrengtheningtheir
tiestothecommunitiestheyserve.

Thisimportantworkbeginswiththecharterschoolboardthinkingaboutthosegroupstowhomitis
mostaccountable.Thesegroupsarefrequentlyreferredtoasstakeholdersandforaschoolthey
includeparentsandthebroadercommunitythatthecharterschoolhopestobenefit.Aneffective
charterschoolboardwilllookforavarietyofwaystolinkwiththesestakeholders.Inthisway,the
boardcanbuildloyaltyandconfidenceinthecharterschoolsmissionandeducationalprogram.Linking
isatwowaystreet:theboardlistenstoparentsandthecommunity,anditalsocommunicatesand
51
reportstothemaboutthecharterschool.

Herearesomeexamplesoftheboardlisteningtoparentsandcommunitymembers:

Sendingasurveytoparentstosolicitinputbeforeamajorpolicydecision.
Conveningaseriesofparentandcommunityforums,chairedbyboarddirectors,todiscussa
majorchallengefacingthecharterschool.
Hostingmonthlyparentcoffeestocreateinformalopportunitiestomeetandhearparent
concerns.
Designingthestrategicplanningprocessfortheschoolsothatthereareampleopportunitiesfor
parentsandcommunityleaderstoparticipateandhelpshapeprioritiesforthefuture.

NonprofitBoardAnswerBook
,NationalCenterforNonprofitBoards,1997.

51

257

Herearesomeexamplesofboardreportingtoparentsandcommunitymembers:

Conductingabreakfastbriefingforcivicleaderstodescribethecharterschoolsunique
educationalprogramanditspositiveimpactonstudentachievement.
Writingpersonalizedletterstoallmajordonorsthatcontributedtothenewbuildingcampaign.
Includingacolumnwrittenbytheboardpresidentinthemonthlyparentnewsletteroutliningkey
issuesfacingtheschool.
Organizingtheseriesofpersonalinterviewsbyboarddirectorswiththeleadersofyouthand
familyservingagenciesinthecommunityinordertoexploreopportunitiesforcollaborative
programsbenefitingchildrenenrolledinthecharterschoolandtheirfamilies.

PromotingParentandFamilyInvolvement

Involvingparentsandfamiliesinthelifeofthecharterschooliscriticaltotheschool'ssuccesswith
children.Inordertomakethisapriority,theboardshouldbeginbydevelopingaformalpolicyon
parentandfamilyinvolvement.AsamplepolicyisincludedintheToolsSectionofthischapter.With
suchapolicyinplace,theboard,incollaborationwiththecharterschooladministratorandotherstaff,
developsaformalplanforparentinvolvement.Insomecasessuchaplanwillhavealreadybeen
createdaspartofthedevelopmentofthecharterschoolapplication.Inanycase,itshoulddescribein
somedetail,howparentswillbeinvolvedintheschool.

AnexcellentexampleisincludedintheToolsSectionofthischapter.ItwasdevelopedbytheYWCA
GlobalCareerAcademyCharterSchoolinMilwaukeeWI.Parentinvolvementinthecharterschool
willtakethefollowingfourforms:Activesupportoftheirownchild'slearning,
Involvementinschoolgovernanceanddecisionmaking,Volunteeringattheschool,Advocacyin
supportofthecharterschool,thecharterschoolmovementingeneral,andschoolimprovementoverall.
Itincludesavarietyofstrategiesandexpressesadeepcommitmenttomakingparentinvolvementa
centralfeatureofthecharterschooldesign.Reviewthestrategiestodeterminewhichmightbe
incorporatedintoyourcharterschool.

AnothervaluableresourceisthenewpublicationfromCharterFriendsNationalNetworkentitled
"CreatingFamilyFriendlySchools.Itcanbefoundat(website??)

Oneofthemostimportantstrategiesfordevelopingpositiveboard/parentrelationsinvolvingparentsof
childrenenrolledinthecharterschoolasmembersofthecharterschoolboarditself.

Dr.ChenziGrignano,DirectorofCharterSchoolsProjectatDuquesneUniversityobserves:Many
charterschoolshavesoughttogiveparentsagreatervoiceinschoolgovernancethanpublicschools
typicallydo.Oftenthecharterschoolsbylawsreserveoneormoreslotsforparentssometimesone
ormoreboarddirectors,oreventhewholeboard,iselectedbytheschoolsparents.Charterschools
mustbecarefultogiveallparents(notonlytheparentswhofoundedtheschool)alegitimatemeansof
258


empowerment,butnotinsuchawaythatadissidentgroupcantakeovertheboardandunderminethe
52
schoolsmission.

Inadditiontoboardservice,parentscanalsobeinvolvedasnonboardvolunteermembersofboard
committees.Inthissettingboarddirectorsandparentleaderswillhaveanopportunitytobuildpersonal
relationships.Forsomeparents,committeeparticipationwillbeasteppingstonetoboardserviceinthe
future.

UseofAdvisoryCommittees

Anothereffectivestrategyforbuildingandmaintainingrelationshipswithparentsandcommunity
membersisthroughtheuseofadvisorygroups.Advisorybodiesaresometimescalledadvisory
committees,councilsortaskforcesandtheycanassistboththeboardandstaffofthecharterschool.
TheNationalCenterforNonprofitBoardshaspreparedausefulguideandsomeofitssuggestionsare
53
offeredhere.

Specificpurposesofadvisorygroupscaninclude:

Raisingmoney.
Servingasadvocatesforthecharterschooltothecommunityservice.
Providingfeedbacktothecharterschoolfromthecommunity.
Reviewing,monitoring,orassessingtheeducationalprogramasawhole,orspecificparts.
Evaluatingtheperformanceofthecharterschool.
Providingameansforinvolvingpeoplewhoarewillingtogivetechnicalassistance,buthave
limitedtime(forexampleinstructionaltechnologyexperts).
Gatheringinputfromorservingasaliaisonwithkeyconstituenciesofthecharterschool.
Providinganindependent,unbiasedsoundingboard.

Someofthecommonproblemsencounteredintheuseofadvisorygroupsinclude:

Lackofclarityinpurpose,roleorscope.
Ignoranceaboutorlackofcommitmenttothemissionofthecharterschool.
Unclearexpectationsofindividualadvisorygroupmembers.
Lackofleadershipandsupportfromthecharterschooladministratororkeyboardleaders.
Weakorganizationalstructure.
Lackofinteractionwithandfeedbackfromthegoverningboard.
Underutilizingmembersoftheadvisorygroup.
Grignano,Chenzi,
GuidanceforCharterSchoolOperators
,CharterSchoolsProject,DuquesneUniversity,1999.
Axelrod,NancyR.,
CreatingandRenewingAdvisoryBoards:StrategiesforSuccess
,NationalCenterforNonprofit
Boards,1990.
52
53

259


Membersofthegroupoversteppingtheiradvisoryrole.(Somegroupshavelearnednottorefer
totheadvisorygroupasthe"advisoryboard.Advisorygroupmemberscansoonforgetthe
word"advisory"andbegintoviewthemselvesasapolicymakingboard).
Lackoforientationand/orcontinuingeducationprograms.
Haphazardselectionprocess.

Toavoidtheseandotherproblemswithadvisorygroups,youcanapplysomeofthesametoolsand
techniquesthathelpcreateaneffectivecharterschoolboardwhichhavebeendescribedinprevious
chaptersofthegovernanceguidebook.Someofthesepracticesinclude:

Createawrittendescriptionthatoutlinestherolesandresponsibilitiesandlimitationsofthe
advisorygroup.ThesampledescriptionisincludedintheToolsSectionofthischapter.
Developaprocessforrecruitingmemberstoserveontheadvisorygroup.
Offerorientationandtrainingtonewmembersoftheadvisorygroupsothattheyareclearabout
theirrolesandhavetheinformationneededtobesuccessfulintheirwork.

Herearesomewaystodevelopaproductiverelationshipwithbetweenthecharter
schoolgoverningboardandanadvisorygroup:

Invitethechairoftheadvisorygrouptoserveasavotingornonvotingmemberofthecharter
schoolboardoronacommitteeoftheboard.
Invitethechairandotherkeymembersoftheadvisorycommitteetoparticipateinstrategic
planning.
Plansocialactivitiesthatallowmembersofbothgroupstomeetinformallyandcementpersonal
relationships.
Giveformalrecognitiontomembersfortheircontributionstothesuccessofthecharterschool.

LinkingParentAndCommunityInvolvementToPlansForStudent
Achievement

Whileparentandcommunityinvolvementservesmanyimportantpurposesinthecharterschool,itmust
alsobeseenasawaytoenhancestudentachievement.TheNationalSchoolBoardsAssociationhas
developedanimportantplanningtoolthatlinksparentandcommunityinvolvementstrategiestothegoal
ofimprovedstudentachievement.It'scalledtheKeyWorkofSchoolBoardsandidentifieseightareas
oftheboardwork:Vision,Standards,Assessment,Accountability,Alignment,LearningEnvironment,
CollaborativePartnerships,andContinuousImprovement.Takentogether,theseareasofboardwork
outlineaplanningprocessforraisingstudentachievement.Eachkeyworkareaincludesabriefoutline
ofthekeyactionsforschoolboards,includingissuestocoverandquestionstoask.Theseare
accompaniedbyengagementstrategiesforinvolvingparentsandcommunityinthespecificareaofkey
work.Thisframeworkispartofanextensivewebsitethatoutlinestheroleofschoolboardsasthey
workwiththeirparents,communitiesandstafftocreateandrentavisionforstudentachievement.Each
260


sectionofthesiteincludeskeyactionsthattheschoolboardcantake,strategiestoengagefamiliesand
communitiesintheseactions,resources,aswellasanextensivedatabaseofactualschoolpracticesthat
demonstrateeachkeyaction.Thisframeworkwillprovidecharterschoolboardswithaneffectivetool
tolinkparentimmunityinvolvementtocomprehensiveplanstoraisestudentachievement.IntheTools
Sectionofthischapter,thereisasummaryoftheplanningframeworkwithstrategiesforparentand
communityengagement.

ForgingAlliances,PartnershipsandCollaborations

Strategicalliancesandcollaborationsareothertoolsthatcanbeusedbythecharterschoolto
strengthenrelationswiththecommunity.Thesealliancescantakemanyforms:publicprivate
partnerships,jointinitiativeswithotherorganizationshavingsimilarmissions,shortandlongterm
coalitions,partnershipswithcommunitygroupsthatservethesamefamiliesbeingservedbythecharter
school,andcontractualagreementswithorganizationsthatcanenhancethequalityofeducational
servicesprovidedbythecharterschool.Thesestructuraloptions,positionedalongacontinuumfrom
cooperativeagreementstomoreformalcoordinatingstructures,willvaryaccordingtothetypeofneed
orissuethecharterschoolisattemptingtoaddress.

Thephrase"collaborativeefforts"hasbeenappliedtoarangeofapproachesandsolutionstospecific
problemsexperiencedbynonprofitorganizations.MichaelWinerCyroftheAmherstWilder
Foundationdefinescollaborationinthisway:"Collaborationisamutuallybeneficialandwelldefined
relationshipenteredintobytwoormoreorganizationstoachievecommongoals.Thisrelationship
includesacommitmenttomutualrelationshipsandgoals,ajointlydevelopedstructureandshared
54
responsibility,mutualauthorityandaccountabilityforsuccess,andsharingofresourcesandrewards."

The
CommunityCollaborationManual
listsanumberofbenefitsofcollaboration.Collaborationscan
55
helpcommunities:

Identifygapsincurrentservicesandcooperatetofillthegaps
Expandavailableservicesthroughcooperativeprogrammingandjointfundraising
Mobilizeactiontoeffectneededchangethroughcollectiveadvocacy
Reduceinteragencyconflictsandtensionsbyaddressingissuesofcompetition
Achievegreatervisibilitywithdecisionmakers,themedia,andthelargercommunity
Conserveresourcesbyavoidingunnecessaryduplicationofservices
Sharesimilarconcernswhilebeingenrichedbydiverseperspectivesthatdifferentmembers
fromvariedbackgroundsbringtothecollaboration.

TheNationalCivicLeaguehasidentifiedthefollowingkeystosuccessfulcollaboration:

54

WinerCye,MichaelandRay,Karen,
CollaborationHandbook:Creating,SustainingandEnjoyingtheJourney
,
AmherstH.WilderFoundation,1992.
55
TheNationalAssembly,
TheCommunityCollaborationManual
.TheNationalAssembly,1993.

261


Theparticipatinggroupsmusthaveasharedvisionofthecollaborationandwhatistobe
accomplishedthroughthejointeffort.
Theparticipatinggroupsmusthaveastakeinthesuccessofthecollaboration.
Theparticipatinggroupsmustfocusonincludingpeopleintheshareddecisionmakingof
thecollaboration.Theymustagreethattheprocessofcollaboratingisasvaluableasthe
results.
Thecollaborationmustbeopentotherichnessthatcomesfromincludingmembersof
differentcultural,racial,ethnic,andincomegroups.Suchdiversityresultsinnew
perspectivesandcreativesolutionstoproblems.
Allparticipantsshouldcontributeresourcestothecollaboration.Suchcontributionincreases
theirsenseofownershipinthecollaboration.
Thecollaborationshouldembraceasmanysegmentsofthecommunityaspossible,
includingbusinesses,grassrootsgroups,government,youthandserviceclubs.(Actual
participantswillreflectthenatureoftheissueorproblembeingaddressedbythe
collaboration.
Thegoalsofthecollaborationshouldbespecifiedandprogresstowardthegoalsshouldbe
continuouslymonitored.

AndtheauthorsoftheNonprofitBoardAnswerBookofferthefollowingguidelinestoevaluate
56
potentialcollaborations:

Willtheproposedcollaborationfurtherthemissionofthecharterschool?
Doesthecharterschoolandtheproposedpartner(s)haveadequatestaffandfinancialresources
tosupportthecollaboration?
Isitthebestwaytoachievethedesiredresults?
Istheaddedworkandcoordinationtimeworthit?

Collaborationneedstobeviewedasmorethanjustanotherorganizationalskill.Itshouldbeoneofthe
hallmarksoneofthedistinguishingcharacteristicsofcharterschools.Thelastingvalueof
collaborationandcoalitionbuildingwillcomefromthenewrelationshipsthatformanddeepenamong
thecharterschoolandotherorganizationsastheyworktogethertomeettheeducationalneedsof
children.Forcharterschools,thisrelationshipbuildingisthekeytolongtermeffectiveness.Asthese
communityrelationshipsgrowstronger,thecharterschool'scapacitytomeettheeducationalneedsof
childrenwillincreasedramatically.

TheToolsSectionofthischaptercontainsanumberofusefulresourcesforbuildingeffective
partnershipsandcollaborations.Someoftheresourcesoffergeneralguidelinesondeveloping
coalitions,andcollaborations.Othersaremorefocused.BusinessAndEducation:aPracticalGuideto
CreatingandManagingaBusiness/EducationPartnershipprovidesdetailedinformationonhowto
organizeongoingformalprogrammaticrelationshipswithcorporationsandbusinesses.Organizingand
ManagingSchoolVolunteerPrograms,asthetitlewouldsuggestprovidesinformationondevelopinga
formalvolunteerprogramthatcanprovideinvolvementopportunitiesforparentsandcommunity
membersalike.FullserviceSchoolsandBuildingaFullserviceSchool:aStepbystepGuidewillbe

NonprofitBoardAnswerBook
,NationalCenterforNonprofitBoards,1997.

56

262


valuableresourcesforcharterschoolswishingtoorganizeanetworkofcommunityservicesand
supportstoaddresstheneedsthatfacechildrenandfamiliesinlowincomecommunities.

AlsoincludedintheToolSectionisaresourceentitledWhytheBoardShouldConsiderVolunteer
IssuesbySusanEllis,anationalexpertonvolunteermanagement.

263

Chapter8:ToolsYouCanUse

SamplesOfFoundationDocuments
ModelParent/FamilyInvolvementPolicy(Source:ParentInvolvementPolicyadoptedbythe
CaliforniaStateBoardofEducation)
SampleContractswithParents(Source:USCharterSchoolswebsiteat
http://www.uscharterschools.org/pub/uscs_docs/ta/legal.htm
)
PlanforParentandFamilyInvolvement(Source:YWCAGlobalCareerAcademyCharterSchool)
SampleAdvisoryCommitteeDescription(Source:
CreatingandRenewingAdvisoryBoards:
StrategiesforSuccess
,NationalCenterforNonprofitBoards)
SampleParentInvolvementPolicy(Source:NationalPTAandCaliforniaStateBoardofEducation)
WhyTheBoardShouldConsiderVolunteerIssues(Source:SusanJ.Ellis,Energize,Inc.)
LeadershipforStudentAchievement:ABoardofEducationFramework(Source:NationalSchool
BoardAssociation.Goto:
www.nsba.org
,clickonKeyWorkofSchoolBoards).

EssentialResourcesforBuildingStrongParentandCommunity
Relations
Arsenault,Jane,
ForgingNonprofitAlliances
,JosseyBass,1998.
Axelrod,NancyR.,
CreatingandRenewingAdvisoryBoards:StrategiesforSuccess
,National
CenterforNonprofitBoards,1990.
Calfee,Carol,Wittwer,Frank,andMeredith,Mimi,
BuildingaFullserviceSchool:aStepbystep
Guide
,JosseyBass,1998.(Includesdisketteswithnumerousplanningformsandworksheets)
CharterSchools:CreatingandSustainingFamilyFriendlyInstitutions.CharterFriendsNational
Network,2000.(Website:http://
www.uscharterschools.org/gb/familyfriendly/
)
Dryfoos,JoyG.
FullserviceSchools
,JosseyBass,1984.
NationalAssociationofPartnersinEducation,Inc.
BusinessAndEducation:aPracticalGuideto
CreatingandManagingaBusiness/EducationPartnerships
,1990.
NationalAssociationofPartnersinEducation,Inc.,
OrganizingandManagingSchoolVolunteer
Programs
,1987.
PTAFamilyInvolvementStandards
,Goto
http://www.pta.org/programs/pfistand.htm#Research
Rackham,Neil,Friedman,Lawrence,and,Ruff,Richard,
GettingPartneringRight
.McGrawHill,
1996.
Stern,GaryJ.,
MarketingWorkbookforNonprofitOrganizations:MobilizePeopleforMarketing
Success
,AmherstH.WilderFoundation,1997.
TheNationalAssembly,
TheCommunityCollaborationManual
.TheNationalAssembly,1993.
U.S.DepartmentofEducationOfficeofEducationalResearchandImprovement,
ReachingAll
Families:CreatingFamilyFriendlySchools
,1996.
Winer,MichaelandRay,Karen,
CollaborationHandbook:Creating,SustainingandEnjoyingthe
Journey
,AmherstH.WilderFoundation,1992.

264

M odelParent/FamilyInvolvementPolicy

TheCharterSchoolBoardrecognizesthatachild'seducationisaresponsibilitysharedbythe
schoolandfamilyduringtheentireperiodthechildspendsinschool.Tosupportthegoalof
thecharterschooltoeducateallstudentseffectively,theschoolsandparentsmustworkas
knowledgeablepartners.

Althoughparentsarediverseinculture,language,andneeds,theysharetheschool'scommitmenttothe
educationalsuccessoftheirchildren.Thisschooldistrictandtheschoolswithinitsboundaries,in
collaborationwithparents,shallestablishprogramsandpracticesthatenhanceparentinvolvementand
reflectthespecificneedsofstudentsandtheirfamilies.

Tothisend,theBoardsupportsthedevelopment,implementation,andregularevaluationofaparent
involvementprogramineachschool,whichwillinvolveparentsatallgradelevelsinavarietyofroles.
Theparentinvolvementprogramswillbecomprehensiveandcoordinatedinnature.Theywillinclude,
butnotbelimitedto,thefollowingcomponentsofsuccessfulparentinvolvementprograms:

Communicationbetweenhomeandschoolisregular,twoway,andmeaningful.
Responsibleparentingispromotedandsupported.
Parentsplayanintegralroleinassistingstudentlearning.
Parentsarewelcomeintheschool,andtheirsupportandassistancearesought.
Parentsarefullpartnersinthedecisionsthataffectchildrenandfamilies.
Communityresourcesaremadeavailabletostrengthenschoolprograms,familypractices,
andstudentlearning.

TheCharterSchoolBoardsupportsprofessionaldevelopmentopportunitiesforstaffmembersto
enhanceunderstandingofeffectiveparentinvolvementstrategies.TheBoardalsorecognizesthe
importanceofadministrativeleadershipinsettingexpectationsandcreatingaclimateconduciveto
parentalparticipation.

Inadditiontoprogramsattheschoollevel,theCharterSchoolBoardsupportsthedevelopment,
implementation,andregularevaluationofaprogramtoinvolveparentsinthedecisionsandpracticesof
thecharterschool,usingtothedegreepossible,thecomponentslistedabove.

Engagingparentsisessentialtoimprovedstudentachievement.Thisschooldistrictshallfosterand
supportactiveparentinvolvement.

Thissamplepolicyisbased,inpart,ontheParentInvolvementPolicyadoptedbytheCaliforniaState
BoardofEducation.

265

PlanforParentandFamilyInvolvement
(Source:YWCAGlobalCareerAcademyCharterSchool)

TheguidingprinciplebehindthePlanforParentandFamilyInvolvementisthatparentsofcharterschool
studentsaretheprimarycustomersoftheschoolonbehalfoftheirchildren.Whiletheyarenottheonly
peopleneedingtobeinvolved,theirinvolvementhasspecialimportance.TheYWCArecognizesthat
parentsandotherfamilymembersknowthestrengthsoftheirchildrenthebest.TheCharterSchoolwill
workcloselywithparentstodevelopthemostpowerfuleducationalexperiencespossiblefortheir
children.ThegoalattheYWCACharterSchoolistohavesignificantparentinvolvement.Itwillbethe
normnottheexception.Amongthestrategiestoensureinvolvementarethefollowing:

Incorporateintothepositiondescriptionsofeducatorstheresponsibilitytoencourageparent
involvementandparticipation.
Providearangeofsupportstoencourageparentinvolvement.
Telephonesintheclassrooms
Educatorasfriendofthefamily.
Initialandongoingorientationforparents.
Studentperformancestoattractparentsandothersintotheschool.
Regular"newsletter"toinformparents.
Parentsinvolvedoncommitteesandprojectteams.
Setdesiredperformancere:parentinvolvementandthendevelopprocessestoachievethem.
NewcomersupportandOrientationGroupsBuddysystem

ParentInvolvementinthecharterschoolwilltakethefollowingforms:

1. ActiveSupportOfTheirOwnChild'sLearning
Workshopsforparentsandfamilymemberscoveringmethodstheycanusetoassist
theirchildrenwithprojectsandhomeworkinorderforthemtobecomemoreinvolved
withtheirchild'seducationInitiationofcomputerliteracyclassesHowtostudyHow
topromoteexplorationofcareersbytheirchildren.
Conflictresolutiontrainingwillbeprovidedtoparentstoencourageuseofsimilar
techniquesathome.
Tutoringtrainingwillbeprovidedtoparentsandotherfamilymembersforuseinafter
schoolprogramandathome.
StudentSuccessFacilitatorwillpromoteparentinvolvementinlearningoftheirchild.
Parentswillworkwithstafftodevise,implementandmodifystrategiesforchildrenthat
exhibitinappropriatebehaviors.

2. InvolvementInSchoolGovernanceAndDecisionMaking
ParentsonBoardofDirectors(seebelow)
ParentsparticipatinginAllSchoolForums(seebelow)
Parentsinvolvedinschoolimprovementprojectteams
Parentsinvolvedinongoingfocusgroups(seebelow)
266

3. VolunteeringAtTheSchool
TheCharterSchoolwillholdfocusgroupsofparentstodeterminewaystheywantto
beinvolved,barrierstotheirinvolvement,strategiestoovercomethosebarriers.
TheCharterSchoolBoardofDirectorswithguidancefromtheExecutiveCounciland
parentswillsetthestandardforparentinvolvementutilizingflexibledefinitionsofparent
involvementbuiltuponthereallifeworkandfamilyschedulesofparents.Thenthe
Schoolwillcommittodoingwhateverittakestoachievethatstandardavoidingamore
punitiveapproach.
TheCharterwilluseparentsaseducators(considerprocessusedbyHorizonlearning
systems).
TheCharterschoolwillhaveawellorganizedvolunteerprogramincorporatingbest
practicesinvolunteermanagementdevelopedthroughoutthecountryoverthelast
severalyears.Developmentandimplementationoftheschoolvolunteerprogramwillbe
theresponsibilityoftheCommunityResourceCoordinator.Parentswillbeprovided
withavarietyofvolunteeropportunitiesthatsupporttheoverallgoalsoftheschool,the
personallearningplanfortheirchild,andatthesametime,fitwellwithintheirown
family,work,andpersonalschedules.

4. AdvocacyInSupportOfTheCharterSchool,TheCharterSchoolMovementInGeneral,And
SchoolImprovementOverall
Parentwillbeprovidedopportunitiestoassisteducatingtheboardercommunityabout
thecharterschool.
Parentswillbeinvolvedineffortstosupportandstrengtheneffectivecharterschool
legislationatthestateandfederallevels.
Parentswillbegiventrainingandsupportthatwillenablethemtoplayactivecommunity
organizingandadvocacyrolesinlocaleducationalissues.

Thefollowingstructures,programsandpracticeswillbeinplacetopromoteandsupportthehighest
levelsofparentinvolvementintheCharterschool:

1. Parentswillberepresentedonthe
BoardofDirectors,
whichisthemajorpolicyand
decisionmakingbodyfortheCharterschool.

2. Atleast2timesayear,an
AllSchoolCommunityForum
willconvenetoprovideallparents,
studentsandcommunitymembersanopportunitytoexpresstheiropinionsonmajorpolicymatters
thattheBoardofDirectorsandExecutiveCouncilwillbeconsideringorshouldbeconsideringin
thefuture.TheAllSchoolCommunityForumswillbeanopportunityfortheBoardofDirectorsand
ExecutiveCouncilto"listentothecustomer.

267


3. A
ParentResourceCenter
willbeestablishedwithintheschooltolinkparentsandotherfamily
memberswithvolunteeropportunities,asaplacetocoolout,getinformation,seetheirchildren,
engageintheirownstudyandlearning,makephonecalls,etc.Theintentistocreateanenvironment
soattractivethatparentsarealwaysintheschool.TheCharterschoolwillseekinputfromthe
GreaterMilwaukeeEducationTrustParentEmpowermentProjectforideasontosetupsucha
ParentCenter.

6. TheCharterschoolwillconductongoing
ParentandCommunityFocusGroups
onaregular
basistosharecustomerfeedbackonschooloperationsandissues/mattersbroughttotheirattention
bytheBoardofDirectorsandExecutiveCouncil.

7. AnonymousSurveys
ofparentswillbeconductedatleasttwiceayeartogathercustomer
feedbackonschoolpolicyandoperations,theeffectivenessoftheeducationalprogram,usefulness
andaccessibilityofhealthandsocialservices,andingeneral,to"listentocustomer."

8. Parentswillalsoparticipateinthe
InitialOrientation
fornewparentsduringwhichtheywill
receivedetailedinformationonthestudentlearningoutcomes,accountabilitymeasures,educational
programandphilosophyaswellasopportunitiesforvolunteerinvolvement.

9. AfterfamilyenrollsstudentintheCharterSchool,parent(s)and/orlegalguardianandthestudent
participateinthe
s tudentandfamilyassetsinventoryprocess
toidentifyfamilyandstudent
strengthsandassetsaswellasanychallenges,specialneedsorbarrierstostudentsuccess.This
assessmentprocesswillbebasedinpartontheSearchInstitute'sYouthDevelopmentAssets
Model,theNewVisionsBoostUpAssessment,Gardner'sTheoryofMultipleIntelligences,

10. Parentswillplayacentralroleinthedevelopmentofthe
PersonalLearningPlan
(PLP)fortheir
child.Aspreviouslydescribed,educators,parentsandstudentswilldevelopapersonallearningplan
foreachstudent.ThefoundationofthePlanwillbetheeducationalstandardsandlearningoutcomes
oftheCharterSchool.ThePlanwillalsoincorporatetheresultsofthefamilyandstudent
assessment.Theplanwillspecifyprogressthatthestudentwillmakeinattainmentofthelearning
outcomesappropriateforthestudentsageandgradelevel,andwillalsoaddressspecialneeds,
challengesandpotentialbarrierstothestudent'ssuccess.Parentsandothercaringadultsintheeach
student'slifewillbeprovidedwithideasandresourcestosupportthechild'slearning.The
educators,parentsandstudentswillformalizetheircommitmenttothepersonallearningplanby
enteringintoa
writtenFamilySchoolCompactforLearning
.

11. Parentswillalsobeinvolvedin
quarterlyconferences
tomonitorthepersonallearningplansof
theirchildren.Onaquarterlybasis,theparents,studentandeducatormeettoreviewstudent
progressbasedonthePersonalLearningPlandevelopedatthestartoftheschoolyear.Inputfrom
othermembersoftheStudentSuccessTeamisutilized.PersonalLearningPlanisrevisedas
needed.Othersupportservicesareprovidedasneededand/orrequestedbystudent,family,or
educator.

12. ThestaffoftheCharterSchoolwillreceiveindepthformal
traininginworkingeffectivelywith
parents
.Thistrainingwillincludegeneralinformationonthebenefitsofandbarrierstoparent
268


involvement,informationonawarenessofdifferentfamilybackgroundsandlifestyles,techniquesfor
improvingtwowaycommunicationbetweenhomeinschool,informationonwaystoinvolved
parentsandhelpingtheirchildrenlearnedinschoolandoutsideofschool,andwaysthatschoolscan
meetthefamilysocial,educational,andsocialserviceneedsbymeansofthecomprehensive
networkofhealthandsocialservicesthatareandintegralpartoftheoveralldesignandoperationof
thecharterschool.Specificskillswillinclude:howtoconducteffectiveconferences,workingwith
parentswhenastudenthasaproblem,communicatingwithparentsaboutstudentprogress,and
helpingparentsunderstandeducationalgoals,strategiesandmethodsofassessment.

13. TheCharterschoolwillalsolinkparentstoschoolbyutilizingavarietyof
technologiesto
communicate
withparents,familiesandstudentsafterhours.Beginningwithbasics,telephoneswill
beinstalledthroughouttheschoolfacilitysothateducatorsandotherstaff,likeprofessionalsinother
fields,willhavereadyaccesstotelephones.TheWWWandemailwillalsobeenutilizedasmore
andmorefamilies,regardlessofincome,areabletoaccessthesepowerfultechnologies.Thecharter
schoolwillpromotetheavailabilityoffreeInternetaccessatalloftheneighborhoodlibrariesinthe
cityofMilwaukee.InadditiontotheschoolWebsite,parentsandfamilieswillbeprovided
informationandassistanceonhowtouseotherWebsitesthroughoutthecountrythatwillhelpthem
supporttheeducationalandsocialsuccessoftheirchildren.Voicemail,audioandvideotapes,fax
backsystemsandtraditionalhomeworkhotlinewillallbeintegratedintothecommunicationssystem
thatadvancesthelearninggoalsoftheCharterschool.

269

StatementOfOrganizationAndPurposeForThe
FundRaisingAdvisoryCommitteeOfTheCharterSchool

(Source:
CreatingandRenewingAdvisoryBoards:StrategiesforSuccess
,
NationalCenterforNonprofitBoards)

Purpose:

TohelptheBoardofDirectorsandcharterschooladministratorsolicitdonationsandgrantsfrom
individuals,corporationsandfoundationstohelpmeetthebudgetofthecharterschool.

Membership:

Thenumberofmembersoftheadvisorycommitteeshallbenomorethan20.Thecharterschool
administratorandtheboardchairshallserveasmembersoftheadvisorycommittee.

Selection:

Duringtheinitialyear,memberswillbeelectedbytheBoardofDirectorsand,thereafter,bythe
establishedmembershipoftheadvisorycommittee.

Termofoffice:

Advisoryteammembersserveatwoyeartermtoensurecontinuityintheteamswork,termswillbe
staggered.

Memberresponsibilities:

Eachmemberoftheadvisorycommitteeisexpectedto:

Attendaminimumoftwomeetingsperyear.
Activelyparticipateinthefunctioningofthecommittee,andbeavailableforindividual
consultationtothechairofthefunddevelopmentcommittee.
Occasionallyaccompanyaboarddirectororstaffofthecharterschoolforpersonalsolicitation
ofselectedfundraisingprospects.
Writeorsignlettersendorsingthecharterschoolsfundraisingsolicitations.

270

WhyTheBoardShouldConsiderVolunteerIssues
BySusanJ.Ellis,Energize,Inc.

VolunteersarealegitimatesubjectofconcerntoaBoardofDirectorsbecauseofthefollowingbasic
principles:

1. Volunteersareavaluableresourcefortheorganizationandshouldbeincludedinany
discussionofresourcedevelopment.Ifcashisobtainedby"fundraising,"volunteers
resultfrom"peopleraising."
Volunteersdonot"save"moneybutinvolvingthemeffectivelycan
stretchthebudgetbeyondwhatitmightotherwisecover.Volunteersshouldthereforebeconsidered
asoneoftheoptionsavailabletosupportyourorganization'sefforts

2. Itispossibleanddesirabletotakeaproactivestanceinplanningforvolunteer
involvement.
Thewaysvolunteerscanhelpyourorganizationarelimitedonlybyyourvisionfor
thatinvolvement.Thevolunteerworldischangingandevolving.Theorganizationthatcantapinto
emergingsourcesofcommunityinvolvementwillfindsupportofmanykinds,butitwon'tbe
"businessasusual'"Isyourorganizationpoisedtotakeadvantageoftoday'svolunteerforce?Have
youarticulatedwhatyouwanttoachievethroughvolunteers?

3. Volunteersareinfluentialagentsoftheorganization.
Volunteershavecredibilityinthe
communitybecausetheyareperceivedassupportinganorganizationwithoutpersonalvested
interest.Theythereforecanplaykeyrolesinpublicrelations,fundraising,publiceducation,
legislativeadvocacy,andothercommunityoutreachfunctions.

4. Volunteersareasourceofvaluableinformationforplanningandevaluation.
Volu n te e rsare "in side r/ou tside rs"th e yare
fam iliarwith th e organ iz ation bu tn otfu llyin te grate din toitsdailyactivitie s.Th e yare k n owle dge able ,bu tth e y
h ave au n iqu e pe rspe ctive .Th e ym ayalsoh ave acce sstocon su m e rorclie n topin ion sin adiffe re n twayth an
e m ploye e sdo.

5. Volunteersareyour"unsalariedpersonnel"
Theboarddiscussespoliciesthataffectpaid
personnel,eventhoughimplementationistheroleofthechiefexecutive:newprojectareasthat
requirefunding,majorpersonnelpolicies,affirmativeactionstatements,andethicalconsiderations.
Insomeorganizations,volunteersfaroutnumberemployees.Wouldn'tthevolunteerstaffbenefit
fromthesametypesofguidelines?

6. Becausevolunteersareagentsoftheorganization,theirworkposespotentialriskmanagementquestionsandinsuranceneeds.
An yon e actin gon be h alfofan organ iz ation can pu toth e rsatrisk orcan be atrisk .Volu n te e rsare n otin h e re n tly
m ore orle sslik e lytoh ave accide n tsorm ak e m istak e s.Howe ve r,th e boardsh ou ldm ak e su re th atth e
organ iz ation h astak e n allth e n e ce ssaryste pstoprote ctth e clie n t,th e volu n te e r,an dth e paidstaff.

(Source:TheNonprofitBoard'sRoleinMaxim izingVolunteerResources,bySusanEllis,NationalCenterforNonprofitBoards,1997)

271

NationalSchoolBoardsAssociationLeadershipfor
StudentAchievement:ABoardofEducationFramework
KEYACTIONS

COMMUNITYENGAGEMENT
STRATEGIES

Engageinacomprehensiveplanningprocesstoestablish 1. Involvecommunityinvisionsetting
aclear
v isionofstude ntachie ve me ntastop
processthroughopenforums,solicitation
priority
ofschoolboard,staff,andcommunity.
ofinput,andbroadbasedreview.
2. Includecommunityinregularreevaluation
andadjustmentofvision.
3. Establishaprocessforongoing
communityinvolvementintheplanning
.
Setclear
standardsfor

s tude ntpe rformance


.
Questionstoask aboutstandards:

Aretheyrelatedtosomethingexternalandcredible
inourcommunity?

Dotheydealwithwhatstudentsshouldknowand
beabletodoatkeypointsintheirschoolcareer?

Aretheydisseminatedclearlyandwidelyto
students,staff,andcommunity?

Createcommunityforumstodiscuss:

Whatstandardsshouldbesetforyour
students

Howyourproposedstandardsrelateto
state,national,orinternationalnorms

Whatneedsyourparent,business,and
highereducationcommunitiesidentifyfor
students.

Establishan
asse ssme nt
processthatmeasuresstudent 4. Establishcommunityadvisory
achievement

a tregularintervals.
Questionstoask
representationasessentialpartof
aboutassessment:
assessmentdevelopmentandreview
process.

Isitexplicitlytiedtostandards?
5. Assurethatassessmentprogramiswidely
Doesitassessbothknowledgeandskill?
andthoroughlyexplainedtothe
Doesitusemultiple,ongoingmeasures(notsingle,
communityatlargeboththroughmeetings
highstakestesting)?
andthemedia.
Istherearangeofachievementtargetsbeing
assessedthatrepresentwhatthelocaleducational
communityfeelsareimportanteducational
outcomes?

Doesitmeasuremorethanminimumcompetencies?

Doesitprovideprogressdataforeverystudent?

Doweknowandunderstandhowtheresultsofthe
assessmentsproducedwillbeused?

Howwillresultsofassessmentsbesharedwith
teachersandcurriculumdevelopers?

Howwillitbeusedtoalterinstructiontofocuson
greatestneeds?

272

Doesitprovideindividualteacherlevelprogress
data?

KEYACTIONS
Establishastrong
accountability
process.
Questionstoask :
1. Doesourdistrictsstaffevaluationsysteminclude
dataanalysisasanessentialpartofstaffevaluation
process?
2. Dowetiesuccesstopublicrecognitionandlackof
successtovisiblechange?
3. Dowereviewdisaggregateddatatoassesssuccess
ofallstudents?
4. Doesourdistrictpubliclyreportschooland
districtwidedataonmultipleassessmentmeasures
toholdboard,superintendent,andprincipals
accountable?
5. Doesthesuperintendentuseindividualteacherdata
toholdteachersaccountable?

COMMUNITYENGAGEMENT
STRATEGIES
1. Includeparentsandothercommunity
membersontheteamdecidingon
strategiesforpublicationand
disseminationofaccountabilitydata.
2. Invitewidespreadinputfromcommunity
onhowdatashouldbedisaggregated.
3. Promotewidespreadreviewand
commentonpublisheddata,including
disaggregateddata.Disciplinedata,
dropoutrates,learningandteaching
stylesandtechniquesshouldalsobe
reviewed
.
4. Establishpolicyandexpectationthat
principalsmeetwithcommunitytoreview
anddiscussschooldata.

5. Establishpoliciesandallowtimefor
parentstomeetwithteacherstodiscuss
6. Doweprovideindividualstudentdatatoparentsina
theirstudentsprogress.
cumulativeformattotrackprogressovertime?

KEYACTIONS

COMMUNITYENGAGEMENT
STRATEGIES

273


Alignre source s
tofocusonstudentsmeetingthe
standards:
1. Curriculum

q uestionstoask
:
Isitcongruentwithstandards(internaland
external)?
Isitclearlysequenced
/
a lignedK12?
Doesitprovideopportunitiesandencouragementfor
individualstudentacceleration?
Doesitprovideappropriateopportunitiesand
accommodationsforstudentsw/specialneeds?
Isitimplementedbyresearchbasedinstructional
practices?

2. Staffing

q uestions:
Arestaffassignmentsbasedonneedsofstudents
resourcesrealignedtoassureadequateindividual
attentiontostudents?
Arestaffmembersassignedonlytopositionsfor
whichtheyarecertified?
Arestaffassignments

basedonaccountabilitydata?

3. Le arningmate rials
q uestions:
Isfundingadequateformaterialsneededto
implementstandardsdrivencurriculum?
Domaterialsincludesoftware?Hardware?
Dowehaveanestablishedprocessforlocal
decisionmakingaboutuseofmaterialsfunds,tiedto
accountabilityforresults?

4. Te chnology

q uestions
:
Is
te chnology
fullyintegratedwithcurriculum?
Isitdistributedandusedequitably,withfocuson
achievingstandards?
Arestaffmemberstrainedtousetechnologyto
enhanceinstruction?

5. Supple me ntalse rvice s

q uestions:
Aresummerschoolopportunitiesprovidedfor
studentswhoneedthem?
Aretutoringandremediationofferedduringthe
dayorafterschool?
Whatprovisionsaremadeforstudentswhoare
notmeetingstandards?
Doweprovideprogramsforgiftedstudents?

1. Establishprocessesforcommunityinput
onbudgetformulation,includingpriority
settingandrealignments.
2. Includebusinesscommunityreviewand
commentarynotonlyonbudgetprocess
butalsoonschooldistrictbusiness
managementpractices.
3. Includeparentsindistrictcurriculum
reviewprocess.
4. Publishdataonschoolstaffingwith
rationaleregardingmeetingstandards.
5. Provideparentstheopportunitytoreview
andcommentonlearningmaterials
selectionprocess.
6. Encourageschoolstafftoinviteparentsin
atnighttolearnwhatmaterialsand
technologystudentsareusingtomeet
achievementstandards.
7. Budgetforresourcestosupportparents
whowanttohelptheirchildrenwith
academicwork.
8. Encouragecommunityvolunteers(notjust
parents)inschoolstohelpwithacademic
work.
9. Establishbusinesspartnerships
.

274

KEYACTIONS
Createa
positive le arninge nvironme nt

forstude nt
andstaffsucce ss.
Questionstoask :
1. Dowe,asaboard,modelmutualrespectand
professionalbehaviorstandardsinBoardmeetings
andinworkingwithsuperintendentandstaff?
2. Arewe,asaboard,committedtoacontinuous
learningenvironment?
3. Doweempowerstafftomeetstudentneedsby
providingapolicyframework,acleardirection,and
adequateresources?

COMMUNITYENGAGEMENT
STRATEGIES
1. Includeparents,students,staffand
communityonbuildinglevellearning
improvementteams.
2. Surveygraduates,

parentsandthe
broadercommunitytogaugesatisfaction
withschooldistrictservicesand
operations.
3. Sharetheinformationgatheredwithstaff
andcommunityandusetheinformationin
theplanningandbudgetingprocess.

4. Encouragecommunitygroupsto
recognizeoutstandingstaffandquality
performancerelatedtostudentsuccessin
5. Doweassuredecisionmakingatthelevelclosestto
meetingperformancestandards
implementationandtiedtoaccountability?
5. Encouragecommunityvolunteerismin
6. Howdowegiverecognitionforqualitystaff
schools,especiallytohelpstudentslearn,
performance?
andrecognizevolunteersregularly.
4. Istrainingfocusedonstaffskillsandknowledgeto
assurethatstudentsmeetachievementstandards?

7. Dowehaveafair

a nd

e ffectiveprocessfor
evaluationofstaff?

6. Provideopportunitiesforpubliccomment
atBoardmeetings.

8. Haveweincludedinteachercontractsexpectations
foraccountabilityandadequaterewardsfor
successfulperformance?

7. Makeschoolfacilitiesavailablefor
communityuse.

9. Dowehaveastudentlearningpolicythat:

Isbasedonmutualrespectandsupportfor
achievement?

Createsastrongacademicorientedprogramfor
students?

Increasesstudentopportunitiestotakechallenging
courses?

Hasclearexpectationsforasafelearning
environmentforstudentsuccess?

Encouragesandemphasizesrespectforlifelong
learning?

Hasclearandconsistentconsequencesforthose
whoviolatepolicy?

10. Howdoweassurethatfacilitiesprovide

a dequate,
appropriatespaceforstudentstolearnandforstaff
memberstocarryouttheirwork?

275

276

KEYACTIONS

COMMUNITYENGAGEMENT
STRATEGIES

Build
c ollaborative re lationships
withmunicipalities,
politicalandbusinesscommunitiesinyourstate,and
otherchildcenteredorganizations,withafocuson
developingaconsensus
forstude ntachie ve me nt
asa
topcommunitypriority.

1. Scheduleregularmeetingswithyour
communitysstatelegislativedelegationto
makethemawareofyoureffortsand
progressonstudentsuccessstandards.
2. Communicatefreelywithlocalelected
officialsaboutstudentachievement
issues,activities,andprogress.Invite
themtobepartofrecognitionefforts.
3. Encouragethesuperintendenttoestablish
regularcommunicationandcollaborative
childcenteredworkingrelationshipswith
SocialServicesagencies,withthepolice
department,andwiththeJuvenileJustice
system.

Committo
c ontinuousimprove me nt
forstudent
achievement.
Questionstoask :
1. Haveweincludedcommitmenttoongoingtraining
ofboarddirectorsinthebudgetandplanning
process?

4. DiscussatBoardmeetingsthe
developmentactivitiesthatboarddirectors
havebeeninvolvedinandhowthese
activitieshaveincreasedtheBoards
capacitytoleadimprovementsinthe
district.

2. Dowetakeadvantageofexistingtrainingfromstate
5. Assurecommunityinvolvementinthe
associationandNSBA,andseekcustomizedtraining
regularreviewofdataandinmaking
asneededtorespondtoissuesidentifiedinthe
recommendationsregardingchangesin
planningprocess?
program.
3. Haveweestablishedtheexpectationandprovided
6. Promoteongoingdiscussionofstudent
theresourcesforthesuperintendentandstaffto
achievementindicatorsandeffortsat
collectandanalyzedataregardingstudent
meetingsofcommunityorganizationsby
achievementandmakeappropriateadjustmentsto
havingboardofeducationmembersand
ongoingactivities?
appropriateschoolsystemstaffofferto
4. Doweformallyreviewonaregularbasisboth
participateinthesemeetings.
summaryandindividualschooldataonstudent
7. Usethesemeetingstoreceiveinputand
achievement?
reactionstothedistrictseffortsand
5. Intheyearlybudgetadoptionprocess,doweusethe
successregardingstudentachievement.
dataonstudentachievementtosetprioritiesfor
8. Takeanactiverolewiththemediato
allocatingresources?
discusssuccessesandplanned
6. Doweadjustthestrategicplanasnecessary,based
improvements.
onthedataandcommunityinput?

(Source:NationalSchoolBoardsAssociation,UsedwithPermission)

277

Chapter9:BoardDirectorMotivationAndAccountability

CriticalBoardBuildingChallenge:Howdoesthecharterschoolboardfosterandmaintaina
highlevelofboarddirectormotivationandaccountability?

Introduction

Earlierchaptersofthegovernanceguidebookhaveofferedprinciples,toolsandpracticestobuildthe
foundationsforaneffectivecharterschoolboard.Thegoalofmuchofthisistocreateanenvironment
inwhichboarddirectorswillperformwellintheserviceofthecharterschool.Thischapterfocuseson
howtomaintainandincreasethatlevelofcommitmentandperformance.Wewilllookatboard
directormotivationandtoolsforholdingboarddirectorsaccountable.

BoardDirectorM otivationM odel

Motivationoftheboarddirectorhasitsrootsinthenominationsandrecruitmentprocess.When
interviewingprospectiveboarddirectorsit'simportanttoaskquestionsthathelpusunderstandtheir
interestandmotivationsinservingasaboarddirectorofthecharterschool.Whatattractsthemto
boardservice?Whyourcharterschoolandnotanother?Whatdotheyhopetogainandhowdothey
hopetogrowasaboarddirector?Howdotheywanttocontribute?Whatotherspecialgiftsand
talentswilltheybringtotheboard?Weneedtounderstandwhat'simportanttothembecausethisisthe
keytounderstandingtheirmotivation.

AhelpfultoolistheBoardDirector/OrganizationMatch.Thistoolisbasedonthebeliefthattheactof
volunteeringisbeneficialtothevolunteeraswellastheorganization.Thisapproachisincontrasttothe
traditionalviewofvolunteeringinwhichthevolunteeristhoughtto"transfer"thingsofvalueto
organization:time,skill,energy,andcommitmenttothecausewithoutgettinganythingofvalueinreturn.
Inthisview,thetransferofvalueisonewayfromthevolunteerboarddirectortotheorganization.
Anotherviewistolookatvolunteeringasatransactionnotaonewaytransfer.Inthetransaction
view,volunteeringrepresentsatwowayexchangeofvalue.Thevolunteerstilltransferstime,skills,
knowledge,energy,andcommitment.Butitdoesn'tstopthere.Boardvolunteersreceivefromtheir
boardservicethingsofgreatvalue:anopportunitytoserveanorganizationtheybelievein,achanceto
learnnewskillsandacquirenewknowledge,anopportunitytobearoundpeoplethatsharethesame
values,anopportunitytomakefriendsforlife.

Oneoftheimportantadvantagesofthis"transaction"viewofboardvolunteeringisthatitfreescharter
schoolboardleaderstoexpectcommitmentandahighlevelofperformancefromboarddirectors
becauseofthebeliefthattheboarddirectorsaretrulybenefitinginimportantpersonalwaysfrombeing
278


ontheboard.Ofcoursewestillvaluetheirvolunteercommitmentbutweunderstandtherelationshipis
mutuallybeneficial.

Thistransactionviewofvolunteeringisillustratedintheboarddirector/organizationmatchdiagram
below:

BoardDirector<>CharterSchool

MOTIVATORS
Interests/Needs
PersonalValues/Beliefs
PersonalandCareerGoals
Family
Dreams
Skills
Experience
PersonalGrowth

BENEFITS
CharterSchoolMission
EducationalPhilosophy
OrganizationalValues/Beliefs
BoardResponsibilities
TrainingOpportunities
OrganizationalClimate
Challenges
Limitations

Thewordsintheleftcolumnrepresentsomeofthekeymotivatorsatworkinaboardvolunteera
prospectiveboarddirectororcurrentone.Thewordsintherightcolumnrepresentsomeofthekey
elementsandbenefitsoftheboarddirectorvolunteerposition.Effectiverecruitment,retentionand
ongoingmotivationofaboarddirectorarebasedonmakingamatchbetweenthetwocolumns.
Imaginetheprospectiveboarddirectorbeingabletomentallyconnectwordsinthetwocolumns.If
someofthekeypersonalinterestsandneedsofthevolunteercanbemetthroughboardservice,we
haveamatch.Ifthepersonalvaluesandbeliefsoftheindividualareinalignmentwiththecore
organizationalvaluesandbeliefsofthecharterschool,wehaveamatch.Ifsomeofthepersonalor
careergoalsofthevolunteercanbeadvancedthroughthetrainingavailabletoboarddirectors,wehave
amatch.Ifthechallengesofboardserviceprovideopportunitiesforpersonalgrowthasthevolunteer
definesit,wehaveamatch.Andifwehaveamatch,wehavethebasisforbuildingalasting,
productive,mutuallybeneficialrelationshipwiththeboarddirector.

Inorderfortheprospectiveboarddirectortodiscovertomanagebetweentheirneeds,interests,values
andbeliefsandtherequirementsandchallengesofboardservice,itisimportantthattheyreceiveafull
andcompletepictureoftheirrolesandresponsibilitiesduringtheorientationprocess.

RecognitionofBoardDirectors

Recognitionistheactofacknowledgingthecontributionsandvaluethatindividualsbringtoan
organization.Thekeytoeffectivevolunteerrecognitioniscreatingasolidmatchbetweentheneeds,
interestsvaluesandbeliefsoftheindividualboarddirectorandthechallenges,requirementsandbenefits
ofboarddirectorservice.Findingthatmatchwasdescribedatthebeginningofthischapter.Board
directorsneedtobedoingthingsthataremostsuitabletohis/hermotivationsandtalents.

279


Herearesomeguidelinesforextendingrecognitiontocharterschoolboarddirectors.Bytheway,the
sameprinciplesapplytoextendingmeaningfulrecognitiontodirectservicevolunteers,paidstaffand
studentsinfactanyonethatsupportsthegoodworkofthecharterschool.

Recognitionforeveryone.
Thefirstisthateverycurrentboarddirectorneedstoreceive
recognitioninsomeform.Eveniftheyarenotamongthestrongestmembersoftheboard,if
theymeettheminimalrequirements,theorganizationneedstoshowsomeappreciation.

Appropriatetoperformance.
Havingsaidthateveryonegetsrecognitioninsomeform,
effectiverecognitionneedstobeappropriatetoperformance.Theboarddirectorwhoisjust
gettingby,contributingtheabsoluteminimum,doesn'tgetthetypeofrecognitionthatoneofthe
starperformersneedsanddeserves.Andinspiteofprotestationstothecontrary,mostpeople
takenoteiftherecognitiontheyreceiveisoutofproportiontotheircontributions.Notthatthe
purposeofservingontheboardistoreceiveaccolades,butifsomeoneistrulycommittedand
expressesthecommitmentinstellarboardservice,thatpersonwillbethrilledthatotherstake
notice.

Formalandinformal.
Recognitioncanbeformalorinformalandcanbegivenmanytimes
duringtheboarddirector'sinvolvementwiththecharterschoolboard.Recognitioncanbegiven
toboarddirectorsinformalways,forexamplewithcertificates,endofserviceplaque,oran
annualbreakfast.Recognitioncanalsobeextendedininformalways,forexamplewithashort
noteoremail,orsincerepersonalthanksattheendofameetingorevent.Manyactsof
recognitioncanbespontaneousandpersonalandarenotcostly.Recognitionismosteffective
whenitisprovidedinavarietyofways.Inthecaseofformalrecognition,awardsshouldnotbe
automatic.Theyshouldnotonlyrecognizeyearsofboardservicebutshouldbebasedonthe
impactoftheboarddirectorswork.Considerayearlyawardorhonortoaboarddirector
whoexemplifiestheverybestattributesofeffectivecharterschoolboardleadership

Perceivedasfair
.Inthecaseoftheformalrecognitionactivities,itisimportantthatthe
processofdeterminingwhoreceiveswhattypeofrecognitionbeperceivedasfair.Iftheview
werethatonlyfriendsoftheadministratororboardpresidentgetaspecialaward,recognition
wouldbediscredited.Useclearcriteriaforawardssothatpeoplefeelthatrewardsarefairand
deserved.Alsobeclearaboutwhomakestheselection.Andavoidthe"onebigaward
approach.Thebestrecognitioneventshighlighttheaccomplishmentsofanumberofboard
directors

Meaningfulandcomfortablyreceived.
Wheneverformofrecognitionisused,itshouldbe
meaningfultotheboarddirectorsreceivingitanditshouldbeintheformthatiscomfortably
received.Forexample,aboarddirectorwhohappenstotheuncomfortableinverylarge
groupswouldprobablynotpreferrecognitioninfrontofalargecrowd.

Beforepeers.
Formanyofus,someofthemostmeaningfulrecognitionhasbeenprivate,
spontaneousandfromtheheart.Atthesametime,itisimportantforrecognitiontosometimes
280


beextendedtoboarddirectorsinfrontoftheirpeerstherestofaboard."Public"recognition
alsoservicetoreinforcethethemethatboardserviceisvaluedatappreciated.

Makeitfun.
Extendingrecognitionisseriousbusiness.Atthesametimethere'snoreason
whyitcanbeofferedinwaysthatarefunandenjoyable.Forexample,inoneorganization,at
theconclusionofthestrategicplanningprocess,theBoardofDirectorsgavemembersof
strategicplanningcommitteeTshirtswiththeorganization'slogoonthefrontandontheback,
thewords"Wesurvivedthestrategicplanningprocess!.Committeememberslovedit.

RecognitionAsAMotivationalStrategy

Often,wetendtolookatrecognitionasawaytothankpeopleforsomethingtheydidinthepast.
Recognitionofboarddirectorsanothervolunteersisoneofthemostpowerfulmotivational
strategiesleadershavetoencouragecommitmentandhighperformanceinthefuture.Anditneedsto
beviewedthiswaybytheboardpresidentandthecharterschooladministrator.Extendingrecognition
canbetimeconsumingandmaynotseemworththeeffort.Wrong.Thebestleaderstheoneswe
rememberaretheonesthatnoticeareaccomplishmentsandthankedus,publiclyandprivately,for
them.Recognitionisanongoing,integralpartoftheworkofleaders,notjustaneventattheendofthe
year.

281

OtherMotivationalStrategies

Involveboarddirectorsinareasweretheyfeeltheycanusetheirskillsandknowledgeandadd
realvalue.Itisespeciallyimportanttoinvolvenewboarddirectorsintheworkoftheboard
rightaway.Otherwisewerisklosingthem.

Makeboardmeetingsinterestingandengaging.Focusdiscussiononcriticalissuesand
challengesandprovideforindepthdiscussionleadingtoaction.

Maketrainingopportunitiesavailabletoboarddirectorstoincreasetheirskillsandknowledge.

Provideforthesocialneedsofboarddirectors.Maintainawarminvitingatmosphere.
Encouragediversityofviewpoints.

Helpboarddirectorsfeelconnectedtothecharterschoolasawhole.Whilewedontwant
themtobetemptedtomicromanage,wealsodontwantthemtofeelisolatedfromwherethe
realactionis.

AccountabilityandReportingTools

ToolsforIndividualAccountability

WrittenBoardDirectorPositionDescription

Boarddirectoraccountabilityhasitsrootsinthenominationsandrecruitmentprocessdescribedin
Chapter2.ItisherethattheBoardofDirectorsdetermineswhatitsexpectationsareforboard
directorsbothcurrentandnew.Thecenterpieceofthenominationsandrecruitmentprocessisthe
writtenboarddirectorjobdescriptionthatlaysouthowboarddirectorsareexpectedtoperform.In
theircontactswiththeboarddevelopmentcommittee,prospectiveboarddirectorsaregivenafull
pictureofwhattheywillbeexpectedtodoifelectedorselectedtoserveontheboard.Thiswritten
boarddirectorpositiondescriptionlaysthegroundworkfortheotheraccountabilityandreportingtools
describedinthischapter.

282

AnnualBoardSelfEvaluationProcess

Anotherkeypracticeinbuildinganeffectiveboardistheestablishmentofaprocessforannual
selfevaluationoftheboard.Awellplannedrecruitmentprocessandaneffectivecommitteestructure
laythegroundworkforimprovedboardperformance.However,everysooftentheboardasawhole
needstostepbackandlookatitself.Aprocessforboardselfevaluationwillhelptomaintainahigh
levelofperformance.Ithappensinformallywhendirectorsgettogetherandtalkaboutindividualand
boardconcerns.Butaformalprocessisalsonecessary.Noticethatwearespeakingof"selfevaluation"
oftheboard.Inordertomaximizeboarddirectorcommitmenttotheprocess,itisimportantthatthey
areactorsintheassessmentprocess,ratherthanthepassiverecipientsofsomeoneelse'sevaluationof
theirperformance.

Aneffectiveboardselfevaluationprocessincludesthefollowingfeatures:

Agreementaboutindividualboarddirectorperformance.
Assuggestedearlier,the
foundationofaneffectiveselfevaluationprocessisthewrittenboarddirectorposition
descriptiondescribedinChapter2.Thisdescriptionisafoundationdocumentandneedstobe
reviewedbytheboardonanannualbasis.Inadditiontoexpectationslistedinthejob
description,othercriteriathatcanserveasreferencepointsforevaluationcaninclude:

Studyandpreparationformeetings
Willingnesstomakeconstructivecommentsduringmeetings
Contributionofspecialexpertise
57
Representationofthecharterschoolinthebroadercommunity.

Annualprocess.
Aneffectiveprocessforselfevaluationoftheboardwillbeconductedona
regular,yearlybasis.Agoodtimeismidwayintotheboardyear.Bythen,boarddirectorshave
hadanopportunitytodemonstratetheircommitmentandenoughtimeremainstotakecorrective
actionifnecessary.

TwowayCommunication
.Inordertohaveboarddirectorsupportfortheprocess,the
evaluationwillneedtobeviewedasavehiclefortwowaycommunicationtoprovidefeedback
onperformancetoindividualboarddirectorsandalsotosolicitfeedbackfromindividualboard
directorsontheperformanceofaboardasawholeandthelevelofsupportthattheyreceive
fromtheirleadersaswellasstaff.Athoroughevaluationwouldcovertwoareas:individual
boarddirectorperformanceandalookatboardandcommitteeoperationsasawhole.Each
boarddirectorshouldfirstbeaskedtoassesstheirperformanceasaboarddirectorincritical
areassuchasinputintopolicyanddecisionmaking,committeeparticipation,andfundraising.
Boarddirectorsshouldalsobeaskedifthereareanyfactorsthathavehelpedorhinderedtheir
performance.Finallytheyshouldbeaskedwhattheywouldneedtomaintainorincreasetheir
levelofcommitment.

Andringa,RobertandEngstrom,Ted,
NonprofitBoardAnswerBook
,NationalCenterforNonprofitBoards,1997.

57

283


Followthrough.
Aneffectiveevaluationprocesswillalsoleadtoconcreteplansforcorrective
actionincludingacommitmentonthepartoftheboardtofollowthroughsothattheresultsof
evaluationprocessleadtomeasurableimprovementsinboardperformance.

Boarddirectoraccountability.
TheresultsofthisassessmentcanthenusedbythePresident
andExecutiveCommitteetodeterminewhichboarddirectorsdeservepositivefeedbackfor
acceptableperformanceandwhichboarddirectors,becauseofinadequateperformance,need
toberemindedoftheirresponsibilities.Andfinally,aneffectiveevaluationprocesswillrelate
directlytotheoverallboardrecruitmentandnominationsprocess.Forexample,aboard
directorwhohasnotfollowedthroughoncommitmentsisunlikelytobeaskedbytheboard
developmentcommitteetorunforasecondtermeventhoughthebylawsmayallowforthis.

OngoingIndividualAccountabilityContacts

Theimportanceoftheannualselfevaluationprocessnotwithstanding,boarddirectorsneedtobeheld
accountablebyleadershiponanongoingbasis.Forexample,ifamemberisabsentfromaboard
meetinganddidnotcallinadvance,itisimportantespeciallywithnewboarddirectorsfora
personalcontacttobemadesoonthereafter.(Telephoneoremailisthefastandeasyway.)Alltoo
often,nothinghappenswhenboarddirectorsfailtoshowup.Theunintendedmessageis"nobigdeal.
Butitisabigdealit'soneofthebasicexpectations.Boarddirectorscan'tbeeffective
decisionmakersifthey'renotintheroom.Ifthemessagereceivedisthatit'sapparentlynotaproblemif
"Idon'tshowupanddon'tcallinadvance,itbecomestooeasyformemberstolaxaboutmeeting
attendanceinthefuture.Andthenwhatmightotherwisebeanisolatedabsencebecomesapattern.If
thecontactismaderightaway,itcanhavethetoneofafriendlierreminder:"Wereallymissedyouatthe
lastmeetingboardmeeting.It'simportantthatyouattendregularboardmeetings.It'ssomethingwe
stressedintheorientationandyoufirstcameontheboard.Wevalueyourinput.Isthereanythingwe
cando?"Andmostofthetime,theboarddirectorwillappreciatethisshowofinterest.

Thesameapproachimmediateresponseisevenmoreimportantwhentheperformanceproblemis
moreserious.Boarddirectorswhogiveinregularlytothetemptationtomicromanageormeddle,the
boarddirectorwhodoesn'tcarryoutothercriticalboardresponsibilities,theboarddirectorwho
constantlydominatesdiscussion,andanyotherbehaviorsthatruncountertotheboard'sagreedupon
normsformeetingorindividualboarddirectorconduct.Andremember,usuallytheproblembehavior
doesn'tgetbetteritusuallygetsworseleadingtoanevengreaterinterventiondowntheroad.

Andbytheway,theresponsibilityformakingthesekindsofpersonalcontactsistheresponsibilityof
boardleadership,thechairoroneoftheotherofficers.Itisnottheresponsibilityofthecharterschool
administrator,thoughfrequentlythetaskispassedofftohimorher.Holdingeachotheraccountableas
boarddirectorsisclearlyaboardresponsibilitynotastaffresponsibility.

284

PersonalGoalSettingByBoardDirectors

Anothertoolforpersonalaccountabilityofboarddirectorsissettingspecificannualgoalsonan
individualbasis.Theseannualindividualgoalswouldbeinadditiontotheexpectationsincludedinthe
boarddirectorpositiondescriptiondescribedinChapter2.Theboardcanusearelativelyinformal
approachoramorestructuredapproach.Anexampleofthemoreformalapproachwouldbeforthe
presidentoftheboardortheboarddevelopmentcommitteetosendaletterandgoalsettingformto
eachboarddirectoratthebeginningoftheschoolyear.Individualboarddirectorswouldsetpersonal
goalsthatwillmakethemmorevaluableboarddirectorsandthenattheendoftheyearconducta
selfassessmenttogaugetheirprogress.Individualgoalscanbedevelopedbytheindividualboard
directorontheirownortheycanbeinresponsetoasetofsuggestedgoalstatements.Forexample:

Identifyatleastthreenewdonorprospects(individual,businessorlocalfoundation)forthe
charterschoolannualfundraisingcampaign.
Host,organizeorparticipateinaneventtopromotethecharterschoolinthecommunity.
Teachaclassormakeaspecialpresentationtoclass.
Throughmybusiness,neighborhoodorprofessionalcontacts,recruitatleastonenewstudentto
58
attendcharterschoolnextyear.

OngoingBoardLeadershipDevelopment

Effortstostrengthenboarddirectormotivationandaccountabilitywillbefurtherenhancedbyconcrete
plansforleadershipdevelopmentofindividualboarddirectors.

Thefailuretotakestepstonurturethecontinuingdevelopmentofboardleadersisamajorweaknessof
manyboardsincludingthoseofcharterschools.Thereneedstobeaplanforstrengtheningthe
leadershipskillsofcurrentboarddirectorsbecausethefailuretodothismakestheboardtodependent
onasmallnumberofitsmembers.Thisisaspecialchallengetonewcharterschoolsmanyofwhichare
alreadydependentonthefoundinggroupofleaders.Lackofahealthyrateofturnoverinboard
leadershipcanconcentratetoomuchpowerinthesamepeople.

Thisneedtodevelopfutureleadershipisamajorchallenge,notjustinindividualcharterschools,butfor
thenationalcharterschoolmovementaswell.

Becausesolidleadershipissoimportant,theeffective,futurefocusedboardwillhaveaplanfor
continuingleadershipdevelopment.Thiskindofplanissometimesreferredtoasleadershipsuccession
planning.Thispractice,likemanyothersdescribedinthegovernanceguidebook,hasitsrootsinthe

58

Chait,Richard,Holland,Thomas,andTaylor,Barbara,
ImprovingthePerformanceofGoverningBoards
,OryxPress,
1996.

285


nominationsandrecruitmentprocessdescribedindetailinChapter2oftheguidebook.Theboardasa
whole,andtheboarddevelopmentcommitteeinparticular,needstoreflectonthefollowingquestions:

Whowillbeleadingthecharterschoolboardinthefuture?
Whatisourplantoidentifynewleadership?
Whatisourplantodevelopnewleadersandpreparedthemtoservenowandinthefuture?

Theanswerstothesequestionsleadtoaconcreteplanforleadershipdevelopment.Mostcharter
schoolshavethreetofiveyearcontracts.Thereforethereshouldbethreetofiveyearplansforboard
leadershipdevelopmentthegoalofwhichistodevelop5to10boardleadersready,astheneedsarise,
tochairtheboardandtochaircommitteesandworkgroupsaswell.Ifthisseemslikeanimpossibly
unrealisticgoal,thinkofitassomethingattainablewithinanongoing,multiyearcommitmenttoboard
leadershipdevelopment.

Theboarddevelopmentcommittee,aspartofitsresponsibility,shouldassesscurrentboardleadership
onasystematicbasis.Then,incollaborationwiththechairoftheboardandthecharterschool
administrator,providecommitteeandprojectassignments,committeerotationsandeducational
59
opportunitiestoprepareleadersforgreaterresponsibilityinthefuture. ReferbacktoChapter3on
boarddirectororientationandtrainingforotherideasaboutofferingeducationalopportunitiestoboard
directors.

Someboardswillalsoassignmentorstoaspiringboardleadersasanadditionalsupporttotheirskill
development.

IntheToolsSectionofthischapter,thereisaguideforboardleadershipsuccessionplanning.Thetool
canbemodifiedasneeded.Alsothinkaboutwaysthattheindividualboarddirectorselfassessment,
describedelsewhereinthischapter,canbelinkedtotheleadershipdevelopmentplanforeachboard
director.

IBID
.

59

286

Chapter9:ToolsYouCanUse

SamplesOfFoundationDocuments
BoardSelfevaluationQuestionnaire(Source:JeffersonAcademyCharterSchool).
IndividualBoarddirectorSelfReviewForm(Source:TheCenterforPublicSkillsTraining).
BoardLeadershipSuccessionProcess.

EssentialResourcesforBoardDirectorM otivationand
Accountability
Wolfe,RebeccaLuhn,
SystematicSuccessionPlanning
,CrispPublications,1996.

287

JeffersonAcademyCharterSchool

BoardSelfEvaluationQuestionnaire

1.HastheBoardandeachindividualmembermaintainedandpromotedacommitmentto
fundamental,traditionaleducationaldeliverysystemandtotheCoreKnowledgeandOpen
Courtcurriculums?
60
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:

___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

2.HastheBoardandeachindividualmemberparticipatedactivelyintheoveralldirection
andpoliciesoftheschool,includingdemonstratingacommitmenttobeindependently
knowledgeableaboutschoolmatterswithoutunduerelianceonstaff?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:

___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

3.HastheBoardoranyindividualmemberviolatedpolicybyattemptingtobecome
involvedinthedaytodaymanagementoftheschool?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:

___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

60

288


4.HastheBoardandeachindividualmemberdemonstratedacommitmenttofostering
relationshipswithstaff,parents,andthecommunity,includingmaintainingacommunication
linktothecommunity,promotingJA'suniquenessasaschool,andpromotingatraditional
educationalphilosophy?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

5.HastheBoardheldtheadministrationaccountablefinancially?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

6.HaseachboarddirectorattendedtherequirednumberofPTOmeetingstoshowsupport
andencouragement?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________

7.HaseachBoarddirectorattendedtheyearlyBoardretreat(orhadanexcusedabsence)
wherethegoalsoftheBoardaredefined,andwheretheBoardevaluatesitself?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________

8.HaseachBoarddirectorparticipatedinBoardVisitDay(orhadanexcusedabsence)?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________
289

9.HastheBoardoranyindividualmemberviolatedtheOpenMeetingsLaw,(CRS
246401,etseq.)?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________

10.HastheBoardoranyindividualmemberviolatedtheconfidentialityprovisionsof
Coloradolawbydiscussingpersonnelmatters,individualstudents,ornegotiations?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:

___________________________________________________________________________
___________________________________________________________________________

11.HavetheBoarddirectorsdemonstratedaprofessionaldemeanoratallBoardmeetings
andinallcommunicationswithotherBoarddirectors,staff,andparents?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:

___________________________________________________________________________
___________________________________________________________________________

12.Haveboarddirectorstakenpartindiscussionscriticalofotherboarddirectorsorstaff
withoutdirectingthespeakertotheboarddirectororstaffmemberinvolved?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:

___________________________________________________________________________

___________________________________________________________________________

13.HaveBoarddirectorsspokennegativelyaboutstafforotherBoarddirectorsinpublic?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

290


Comments:

___________________________________________________________________________
___________________________________________________________________________

14.HasanyBoarddirectormissedtwoormoreBoardmeetingswithoutpriorapprovalfrom
atleasttwootherBoarddirectors?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

15.HasanyBoarddirectorabusedhisorherauthorityasaBoarddirectorwhileactingas
aparentoravolunteer?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

16.IntheeventthattheBoardoranyindividualmemberneedstoaddressproblems
revealedbythisselfevaluation,isthereatangible,specificactionplaninplacetoaddress
theproblems?
LessAdherence
MoreAdherence
1
2
3
4
5
6
7
8
9

Comments:
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

291

IndividualBoardDirectorSelfReviewForm

Yourname:
_______________________________________________________

Part1
Areyousatisfiedwithyourperformanceasaboarddirectorinthe
followingareas:(checkspacesthatapplybelow)

Attendanceat
boardmeetings

Inputinpolicy
developmentand
decisionmaking

Fundraising

Community
outreach

Other_________

Verygood

Adequate

Needswork

______

______

______

______

_______

_______

_______

_______

_______

_______

_______

_______

______

_______

_______

Part2
Whatfactorscontributedtoyourperformanceorlackofperformanceinthe
areasabove:(Pleasebespecific.)

Part3
Here'swhatIwouldneedfromthecharterschooltomaintain/increasemy
levelofboardcommitment:

Part4
Doyouhaveanyothercommentsorsuggestionsthatwillhelptheboard
increaseitseffectiveness?

Pleasereturnyourcompletedformtotheboardpresidentat(insertaddress,email,orfaxnumber).

292

BoardLeadershipSuccessionProcess
1.
2.
3.
4.

(Adaptedfrom
SystematicSuccessionPlanning
byRebeccaLuhnWolfe)

Identifykeyboardandcommitteeleadershippositionsandwhentheywillbevacant.
Reviewboardleaderpositiondescriptionsandupdateifnecessary(includedescriptionsforboard
officersandcommitteechairsinparticular).
Foreachkeyleadershipposition,identifyatleasttwopotentialcandidatesforleadership
succession.
Developaplanforleadershipdevelopmentandsuccessionincollaborationwiththecandidates.

GuidelinesforLeadershipDevelopmentPlans

Step1Knowandidentifythekeyboard/committeeleadershippositionsforwhichyouwill
developtheindividual.

Step2Identifytheskillsandknowledgetheindividualmustacquirewithreferencetothose
board/committeeleadershippositions.Developlearningobjectives.

Step3Designaboardleadershipdevelopmentplantoachievethelearningobjectives.The
planshouldspecifyactivities,timeframe,resourcesneeded,whowillassessprogress,etc.

Step4Executetheplanandfollowthroughwithregularreviewsandmonitoring.

Step5Evaluatetheresultanddocumentprogressorgaps.Discussneedforadditionalsteps
withthefuturesuccessor.

Leadershipdevelopmentmethods:

Publictrainingeventsandconference(seelistofresourcesinlastchapterofguidebook)
Onsitecontinuingeducation
Mentoring
Inhousetraining
Selfstudyprograms
Intergroupleadershipdevelopmentinvolvingboarddirectorsfromothercharterschools
Committeejob/taskrotation
Onthejoborientationandtraining
Personalizedindividualcoaching
Videoandaudiotapes
Websites

293

PreparingforBoardLeadershipSuccession

Thefollowingformcanbeusedasaguideforpreparingawrittenplanforboardleaderdevelopment.
Theformshouldbefilledoutbytheboardpresidentinconsultationwiththeindividualleaderandthe
charterschooladministrator.Changesshouldbemadeasneeded.

Boardleader'sname:
___________________________________________________________________

Currentleadershippositionontheboard:
___________________________________________________________________
Timeinthisposition:
___________________________________________________________________

Keyfutureboardleadershippositiontopreparefor:

___________________________________________________________________

Otherfutureboardleadershippositionsthatcouldbeconsidered:

___________________________________________________________________

Theboarddirectorspersonalandprofessionalgoalsthatcanbemetthroughfutureboardand
committeeleadershipservice:

______________________________________________________________________________
________________________________________________________
________________________________________________________________________

LeadershipDevelopment
MethodsOfDevelopment
ResourcesNeeded
Objectives

Person(s)whowillserveasmentor/coachtoboarddirectors:

294


________________________________________________________________________

________________________________________________________________________

Chapter10:TheBoardatWork:EffectiveCommittees

CriticalBoardBuildingChallenge:Howdoestheboarddevelopandmaintainacommittee
structurethatenhancesitsoveralleffectiveness?

Introduction

Effectivecommitteesare,inaword,indispensable.Theydothebulkoftheworkofthecharterschool
board,therebyfreeingthefullboardforattentiontomatterslikerespondingtoemergingcriticalissues,
strategicplanning,majorpolicydevelopmentandlongrangefinancialplanning.

Aneffectivecommitteestructureplaysthefollowingcrucialroles:

Helpstoincreasetheinvolvementofboarddirectorsbecauseitgivesthemanopportunitytouse
theirskillsandexperience.
Providesatraininggroundforfutureleadersbothforindividualswhoarecurrentlyboard
directorsaswellasnonboarddirectorswhomaybeaskedtoserveontheboardinthefuture.
Increasesthevisibilityandoutreachofthecharterschoolbyincludingnonboarddirectorsin
committeemembership.
Providesameansforinformationtoflowfromtheparents,students,community,andcharterschool
stafftotheboard.
Givesboarddirectorsthechancetodiscussemergingissuesinsomedepth.

Boardcommitteesoperateattheboardlevel,notthestafflevel.JohnCarver,authorof
BoardsThat
MakeaDifference
,insiststhatthepurposeofboardcommitteesisnottohelpthestafftodoitswork,
butrathertohelptheboardgettheworkofgovernancedone.Sometimesboardswillcreate
committeesthataredesignedtoadvisethestaff,butthisarrangementcanblurthedistinctionbetween
boardandstaffrolls.Thesecommitteesshouldbelimitedor,betterstill,notcreatedatall.Itis
importanttoremember,however,thatinsomecharterschoolscommitteesmaybeinvolvedin
61
daytodayoperations,atleastinitially .Boardsintheearlieststagesofcharterschooldevelopment,
whenthereisnostaff,clearlymusttakeonwhatwouldbestaffworkinamorefullydevelopedcharter
school.Oncethecharterschoolisbeyonditspreorganizingstage,itisimportantthattheboards
committeesbegintorelinquishsuchinvolvementindaytodayoperations.

TypesofCommittees

Hirzy,EllenCochran,
NonprofitBoardCommittees
,NationalCenterforNonprofitBoards,1993.

61

295


Ingeneral,therearetwotypesofcommittees:standingandadhoc.Standingcommitteesare
permanentcommittees,establishedintheorganization'sbylawsthatrelatetotheongoinggovernanceof
thecharterschool.Adhoc,orspecial,committeeshavelimitedresponsibilitiesandarecreatedfor
specificpurposesforexampleasearchcommitteethatmanagesthesearchprocessandrecommendsa
candidateforthecharterschooladministratorposition.Adhoccommitteesshouldbeinstitutedfora
specificpurposeanddisbandedwhentheneedforthemnolongerexists.Adhoccommitteesarefurther
discussedlaterunderthischapterundertheheadingUseofTaskForcesandWorkGroups.

TheCommitteeStructure

Ingeneral,thenumberofcommitteesshouldbekepttoaminimum.Thecommitteestructureshouldbe
ofasufficientnumbertoenabletheboardtocarryoutitsgovernancerolesandresponsibilitiesinan
efficientandeffectivemanner.Toomanycommitteescancreateacumbersomestructureandinsome
cases,caninvitemicromanagementonthepartoftheboard.

Formanycharterschools,thestandingcommitteestructurewillincludesomeorallofthefollowing
committees:executive,financeandbudget,accountability,boarddevelopment,andfundraising.The
ExecutiveCommitteedeservesspecialattention.

TheExecutiveCommittee.
Acriticalelementinboardeffectivenessisafunctioningexecutive
committee.GenerallytheexecutivecommitteeconsistsofthefourexecutiveofficersoftheBoard:the
president,vicepresident,secretary,andtreasurer.Sometimesothermembersoftheboardareincluded
aspartoftheexecutivecommittee:forexamplechairsofthestandingcommitteesoratlargemembers
fromtheboardtoassurerepresentationofdiverseviewpoints.

Itisimportanttomakesurethattheuseofanexecutivecommitteedoesntcreateaninnerboard
consistingofexecutivecommitteemembers,andanouterboardconsistingofthosewithoutasmuch
influenceandinformation.Suchadevelopmentcanresultintheboardnotoperatingtogetherasan
effectiveteam.Themostpositiverolesanexecutivecommitteecanplayaretooverseegoalsettingand
agendadevelopmentandtoserveasapreliminarysoundingboardforthechairoftheboardandthe
charterschooladministrator.However,theexecutivecommitteeshouldnotbecomeasubstitutefor
discussionofimportantmattersbytheentireboard.

Forthisreason,itisimportantthatthebylawsspecifylimitsonthepoweroftheexecutivecommitteeif
yourcharterschoolboardchoosestohaveone.Eachschoolmustdecidehowmuchauthoritytogrant
itsexecutivecommittee.Thereisnoone'ssizefitsallrule,exceptthefullportmustdecidewhatisbest
forthecharterschool.Oftentheexecutivecommitteeisnotpermittedtodooneormoreofthe
following:

Amendthearticlesarebylaws
Dissolvethenonprofitcorporation(iftheschoolisaseparatelyincorporatednonprofit
organization)
Dismissorelectnewboarddirectorsorofficers
Hireorfireacharterschooladministrator
296

Enterintooraltermajorcontractssuchasthechartercontract
Sueanotherentity
Changeaboardapprovedbudgetand
Adoptoreliminatemajorprogramsorservices

Atitsbest,theexecutivecommitteeplaysthreecriticalroles:planningtheagendaofboardmeetings,
makingdecisionsonbehalfofthefullboard,andservingasacommunicationlinkwithothermembersof
theboard,especiallythecommitteechairs.TheserolesaredescribedmorefullyinChapter4ofthe
governanceguidebook.

Asimportantastheexecutivecommitteeis,it'sonlyonepartofthetotalcommitteestructure.Youcan't
begintotalkaboutaneffectiveboardwithouttalkingaboutcommitteesoftheboard.Theydothebulk
oftheworkofthecharterschool,therebyfreeingthefullboardforattentiontomatterslikelongrange
financialplanningandpolicydevelopment.

Aneffectivecommitteestructurehelpstoincreasetheinvolvementofboarddirectorsbecauseitgives
themanopportunitytousetheirskillsandexperience.Theyprovideatraininggroundforfutureleaders
bothforindividualswhoarecurrentlyboarddirectorsaswellasnonboarddirectorswhomaybe
askedtoserveontheboardinthefuture.Theyincreasethevisibilityandoutreachofthecharterschool
byincludingnonboarddirectorsincommitteemembership.Committeesprovideameansfor
informationtoflowfromthecommunity,clients,andlinestafftotheboard.Committeesalsogive
membersthechancetofreelyanddiscussissuesinaninformalsetting.Finally,committeesserveas
excellentproblemsolvinganddecisionmakinggroupsbecauseoftheirsmallsize.

297

EffectiveBoardCommittees:TheBasics

WhyCommitteesDontWork

Typicallycommitteesdon'tworkwellformanyofthesamereasonsboardsdon'tfunctioneffectively:the
lackoflongtermagendas,relianceonpoororincompleteinformation,andthefailuretodistinguish
betweenboardlevelandoperationalissues.Thereforecommitteescanbenefitfrommanyofthesame
approachesthatmakeboardmeetingsmoreeffective:anoverviewbythecommitteechairatthe
beginningofeachmeeting,astrategicfocusfordiscussions,prioritizedagendas,annualcalendarof
62
committeemeetingsandmajordecisions,consentagendas,andevaluationofcommitteemeetings.
RefertoChapter4onboarddecisionmakingandeffectivemeetingsforotherideastoincreasethe
effectivenessofcommittees.

ElementsOfCommitteeEffectiveness

Thereareatleastsixelementsofcommitteeeffectiveness:

WrittenCommitteeDescription.
First,thereshouldbeawrittendescriptionofwhatis
expectedofeachcommitteetoguidethechairandmembers.Thedescriptionshouldsummarize
thepurposeofthecommittee,itscompositionandselectionprocedure,andthespecificduties
ofthecommittee.ThereareseveralsamplecommitteedescriptionsintheToolSectionofthis
chapter.

Aneffectivecommitteechair.
Thenextelementisaneffectivechairperson.Ingeneral,the
committeechairshouldaboarddirector.Thishelpstoassurethattheleadershipofthe
committeeis"insync"withthatoftheboardasawhole.Inseekinganeffectivechair,we're
lookingfortwothings:contentknowledgeandexperiencerelevanttotheworkofthecommittee
aswellasprovenleadershipandpeopleskillsthatwillbeessentialifthecommitteeistowork
effectively.Ofthetwo,themostimportantisleadershipandpeopleskills.Additionalcontent
knowledgeismoreeasilyacquiredbyacommitteechairthantheabilitytoleadothers.

Youwantagoodleaderofpeopleandprocess,someonewhofeelsconfidentinguiding
committeememberstoaccomplishthetaskinatimelymanner.Theroleofcommitteechair
requiresextrawork,timeforcommunicationwithstaff,awillingnesstoresolveconflictsamong
63
members,andacommitmenttokeeptheboardchairinformedatalltimes .

Therearealsosomepersonalcharacteristicsoftheeffectivecommitteechairthatalsoneedto
beconsidered:
62

Chait,Richard,Holland,Thomas,andTaylor,Barbara,
ImprovingthePerformanceofGoverningBoards
,OryxPress,
1996.
63
Andringa,RobertC.,andEngstrom,TedW.,
NonprofitBoardAnswerBook
,NationalCenterforNonprofitBoards,
1997.

298

Hasconfidenceinothercommitteemembers
Wantstoreleasethepotentialenergyofthegroup
Iswillingtorelinquishsomeofthechairsformalauthorityifthejobrequiresitand
Ismoreinterestedinthecommittee'ssuccessthaninhisorherownfeelingofpersonal
importance.

Thegoodchairisonewhocanworkwithpeople,whocanstimulatethemratherthanbrow
beatthemandcanhelpthegroupusealltheabilitiesandexperiencesitsmemberspossessand
64
newskillsthattheydevelopastheyworktogether.

Dependingonthesizeofthecharterschool,thecommitteechairwillberesponsiblefor
preparingagendasforthemeetings,assigningresponsibilitiestocommitteemembersanddoing
someofthefollowuptomakesureassignedworkisbeingdonebymembers.Insome
instances,charterschoolstaffmaybeassignedtoassistthecommitteechairbutthisisnot
alwaysthecase.Foramoredetailedlistingofcommitteechairpersonresponsibilities,seethe
65
ChairpersonJobDescriptioninthetoolsectionofthischapter.

Membersthoughtfullyappointed.
Thenextelementofcommitteeeffectivenessismembers
whohavebeenthoughtfullyappointed.Eachstandingcommitteeisgenerallycomposedofa
coreoffivetoeightmembers.Theycanbeamixofboardandnonboarddirectorsandshould
berecruitedwiththefollowingquestioninmind:Whattasksarethecommitteeresponsiblefor
andwhoamongourmembersandsupporterspossesstheskillsandexperienceneededto
completethosetasks?Asisthecasewithotherformsofvolunteerrecruitment,everyeffort
shouldbemadetomatchtheneedsandrequirementsofthecommitteeandtheskills,
knowledgeandinterestsofprospectivecommitteemembers.Inmanycases,prospectiveboard
directors,aspartoftherecruitmentprocess,willbegiveninformationabouttheboard
committeestructurewithsuggestionsonwheretheymightbestfit.Forexample,aprospective
boarddirectorwhohasmuchskillandexperienceinfundraisingwouldmostlikelybeaskedto
serveonthefunddevelopmentcommittee.Intheendhowever,regardlessofthepreferencesof
boardleaders,theindividualboarddirectorsshouldbeabletoselectthecommitteeassignment
thattheyfeelwillbestmeettheirneeds,whileatthesametime,meetingtheneedsofthecharter
school.SeetheToolsSectionofthischapterforasampleCommitteePreferenceForm.

Accountabilitytotheboard.
Thenextelementofcommitteeeffectivenessisclear
accountabilitytotheboardofdirectors.Thisbeginswiththewrittencommitteedescriptionthat
describeswhattheboardexpectsfromthecommittee.Thereshouldalsobeanefforttolinkthe
committeedescriptionwithrelevantstrategicplanlanguage.Usingthefunddevelopment
committeeasanexample,thecommitteedescriptionwouldreflectamajorgoalandsupporting
strategiesthataddresstheissueofcharterschoolfunding.Undertheumbrellaofthefunding
goalandstrategies,committeeleadershipwoulddevelopanannualfundraisingstrategyand
supportingworkplaninlinewiththefundingstrategicgoal.Thisworkplanwouldcontain
OConnell,Brian,
OperatingEffectiveCommittees
,IndependentSector,1988.
Hirzy,EllenCochran,
NonprofitBoardCommittees
,NationalCenterforNonprofitBoards,1993.

64
65

299


objectivesincorporatingmeasurableoutcomes,andthesemeasurableoutcomeswouldbethe
basisforregularreportingofthecommitteetotheboardisawhole.Anexampleofa
committeereportingform,AnnualBoardCommitteeReportthatreflectsthisapproachcanbe
foundintheToolsSectionofthisChapter.Regardlessoftheapproachused,itisimportantthat
thecharterschoolboardclearlycommunicatetoallofitscommitteeswhatkindofreportingits
expectsandwithwhatfrequency.

Wellrunmeetings.
Thelastelementofcommitteeeffectivenessiswellrunmeetings.Ina
sense,ifacommitteereflectsthefirstfiveindicatorsofeffectivenessacleardescriptionofits
work,achairthatknowshowtolead,asolidmatchbetweentheinterests,skillsandexperience
ofindividualmembersontheonehand,andtheneedsandrequirementsofthecommitteeonthe
other,agoodmixofboardandnonboarddirectors,anddirectaccountabilitytotheboard
wewillhavethemakingsofexcellentcommitteemeetings.Itwillstillbeimportanttoprovide
formeetingspacethatmatchestheneedsofthegroup,awrittenmeetingagendaandany
necessaryinformationmailedouttomembersinadvanceofthemeeting.

Inaddition,thecharterschool,aspartoftheoverallboardeducationandtrainingprogram,shouldalso
bepreparedtoprovidetrainingtocommitteememberstohelpthemsharpentheirskills.

AdditionalPracticestoEnhanceCommitteeEffectiveness

EvaluatingCommitteeMeetings

Attheendofeachcommitteemeeting,thechaircanaskforwrittenororalcommentsaboutthesession.
Insomeorganizations,thisisafeatureofeverymeetingandisreferredtoasthe"checkout.A
relativelysmallinvestmentoftimecanproducecontinuousimprovementsintheworkoftheboard's
committees.Immediatefeedbackfrommemberscanbesolicitedonhowwellthemeetingachievedits
purposes,ifmembersstayedontask,andifthereisanythingthatcanbedonetoimproveeffectiveness
offuturecommitteemeetings.IntheToolsSectionofthischapter,therearetwoexamplesofwritten
committeemeetingevaluationforms.

AnnualCommitteeCalendarOfMajorDecisionsAndMeetings

InChapter4,anannualboardcalendarofmajordecisionsandmeetingswassuggested.Thesame
practicewillincreasetheeffectivenessoftheboard'scommitteesaswell.Thecommitteecalendar
shouldalsobetiedintotheoverallannualboardcalendarsothateffortsareunifiedandcoordinatedfor
maximumimpact.Schedulingregularmeetingsofthecommitteeinadvancewillalsohelpbusypeople
planfarenoughinadvancetoassuregoodattendance.IntheToolsSectionofthischapter,thereisa
SampleAnnualBoardandCommitteeCalendar.

UseOfTaskForcesAndWorkGroups
300

Insomeinstances,theboardcanreplaceorsupplementstandingcommitteesbyuseofprojectandissue
specifictaskforcesorworkgroups.Taskforcesandworkgroups,similartoadhoccommittees,canbe
usedwhenthereisanimportant,timesensitiveassignmentthatneedstobecompletedbutdoesn't
requireanongoingstandingcommittee.Taskforcescanbeusedtoconductasearchforanewcharter
schooladministrator,makingrecommendationsonmajorpolicy,exploringamajornewstrategic
alliance,planningacapitalfundraisingcampaign,andotherhighpriorityprojects.Aswithstanding
committees,itisimportantthattaskforcesandspecialworkgroupsfocusonboardlevelprojects,and
notasasubstituteforstaffworkgroups.Atthesametime,dependingontheworkassigned,taskforces
andspecialworkgroupscanincludestaff,students,parents,andothercommunityleadersinadditionto
membersoftheboarditself.Ingeneral,allofthetoolsandpracticesthathelpstandingcommittees
performeffectively,willbeusefultotaskforcesandworkgroups

AdditionalSuggestions
Committeeeffectivenesscanalsobeenhancedthroughthefollowingpractices:

Scheduleanorientationfornewcommitteemembersforthesamereasonnewboarddirectors
needanorientationbeforetheirfirstboardmeeting.
Makesurethatcommitteemembersreceiveanagendainadvanceofmeetingsandhaveallof
theinformationtheywillneedtocompletetheirwork.
Makesurethatthechairprovidesregularandappropriaterecognitiontoactivecommittee
members.Thechairshouldalsoseekoutunproductivecommitteememberstofindoutwhatis
gettinginawayofperformanceandthendevisingstrategiestoovercomethosebarriers.
Spelloutforthecommitteechairmanexactlywhattheboard'sexpectationsareforcommittee
report.
Encouragethechairtoinvolvecommitteemembersindevelopingtheannualcommitteeplanof
workandmakesurethatthecommitteeplansareinalignmentwiththeoverallstrategicplanof
thecharterschool

301

Chapter10:ToolsYouCanUse

SamplesOfFoundationDocuments

SampleCommitteeDescriptions(TheCenterforPublicSkillsTraining)
SampleCommitteeDescriptionsfromISACSand/orMosaicaAcademyCharterSchool
CommitteeMeetingEvaluationForm(FastFeedback,Chait,page30)
CommitteeChairJobDescriptionandCommitteeMemberJobDescription(Source:Carter
McNamara,MBA,PhD)
CommitteePreferenceForm(canbeusedwithprospectiveduringrecruitmentandannuallywith
currentboarddirectors.)
AnnualBoardCommitteeReport
SampleAnnualBoardandCommitteeCalendar

EssentialResourcesForEffectiveCommittees
Hirzy,EllenCochran,
NonprofitBoardCommittees
,NationalCenterforNonprofitBoards,
1993.TheNationalCenterforNonprofitBoardsalsopublishesbookletsonindividual
committeesincludingAudit,Executive,Nominating,Finance,FundDevelopmentandPlanning.
TheNationalCenterforNonprofitBoardsalsopublishesaseriesofbookletsonspecific
committeesincludingtheexecutive,nominating,planning,auditcommittees,andothers.Goto
www.ncnb.org
andclickonpublications/bookstorelink.
Foradditioncommitteedescriptionsamples,gotothewebsiteoftheMosaicaCharterSchool
atwww.macsbensalem.org/comm.htm.AlsovisitthewebsiteoftheIndependentSchools
AssociationoftheCentralStates(ISACS)athttp:/www.isacs.org/monographs/bordchrg.html.
AdditionalsamplecommitteedescriptionscanbefoundatthewebsiteoftheWashingtonCore
KnowledgeSchoolathttp://www.psd.k12.co.us/schools/traut/Charter.html,thenscrolldown
toSection7Committees.

302

ExecutiveCommittee
GeneralPurpose
Theexecutivecommitteeiscommissionedbyandresponsibletotheboardofdirectorstofunctionon
behalfoftheboardofdirectorsinmattersofemergencyandininterimperiodsbetweenregularly
scheduledboardmeetings.Theexecutivecommitteeshallhaveandexercisetheauthorityoftheboard
ofdirectorsprovidedthatsuchauthorityshallnotoperatetocircumventtheresponsibilityandauthority
vestedintheboardofdirectorsbythebylaws,andanyactiontakenistoberatifiedbytheboardof
directorsatitsfirstsubsequentmeeting.

AppointmentsandComposition
1. Theexecutivecommitteeshallbecomposedofthepresident,vicePresident,secretary,and
treasureroftheboardandoneatlargemember.

2. Thechairoftheexecutivecommitteeshallbethepresidentoftheboardofdirectors.

3. Thepresident,vicepresident,secretary,treasurerandoneatlargemembershallbeelectedin
accordancewithproceduressetforthinthebylawsofthecharterschool.

Responsibilities
1. Meettodrawupanagendaformeetingsofthefullboardofdirectors.

2. Makedecisionsonbehalfofthefullboardasneededwhichcannotwaitforthefullboardoron
mattersdelegatedtotheExecutiveCommitteebytheboardofdirectors.

3. Maintaineffectivecommunicationwiththecommitteesofthecharterschoolboard.

4. Coordinatetheannualplanningandbudgetprocessofthecharterschoolinconjunctionwiththe
financecommitteeandthecharterschooladministrator.

5. Respondtothecalloftheboardpresidentorcharterschooladministratorforemergencymeetings
todealwithspecialproblemsbetweenregularboardmeetings.

6. Annuallysubmitobjectivesaspartoftheplanningandbudgetingprocess.

7. Annuallyevaluateitsworkasacommitteeandtheobjectivesithascommitteditselftoandreporton
sametotheboardofdirectors.

8. Reporttotheboardofdirectorsatregularmeetingsoftheboardinamannerdeterminedbythe
board.

303

FinanceCommittee

GeneralPurpose
ThefinancecommitteeiscommissionedbyandresponsibletotheboardofDirectors.Ithasthe
responsibilityforworkingwiththecharterschooladministratortocreatetheupcomingfiscalyear
budgetpresentingbudgetrecommendationstotheboardmonitorimplementationoftheapproved
budgetonaregularbasisandrecommendproposedbudgetrevisionsrecommendtotheboard
appropriatepoliciesforthemanagementofthecharterschool'sassets.Thefinancecommitteeshallbe
assistedbythecharterschooladministrator.

AppointmentsandComposition
1. Themembersofthefinancecommitteeshallbethetreasureroftheboardwhoshallserveaschair,
thepresidentwhoshallserveasanexofficiomember,togetherwithotherdirectorsappointedby
thepresidentwiththeadviceandconsentoftheboardinaccordancewiththebylaws.

Responsibilities
1. Prepareanannualbudgetforthecharterschoolincollaborationwiththecharterschool
administrator.

2. Alsoincollaborationwiththecharterschooladministrator,developandannuallyreviseathreeyear
financialforecastanddeveloplongrangefinancialplansbasedontheforecast.

2. Reviewallgrantproposalsandwhennecessary,recommendactionbytheboard.

3. ReviewallnonbudgetedexpendituresoverasetdollaramounttobedeterminedbytheBoardof
Directorsandrecommendactiontotheboard.

4. Annuallysubmitobjectivesaspartoftheplanningandbudgetingprocess.

5. Annuallyevaluateitsworkasacommitteeandtheobjectivesithascommitteditselftoandreporton
sametotheboardofdirectors.

6. Arrangeforanannualauditwithsubmissionofsametotheboard.

7. Reporttotheboardofdirectorsatregularmeetingsoftheboardinamannerdeterminedbythe
board.

304

PersonnelCommittee
GeneralPurpose
Thepersonnelcommitteeiscommissionedby,andresponsibleto,theboardofdirectorstoassumethe
responsibilityforadvisingitonmatterspertainingtopersonneladministrationandstaffing.This
responsibilityshall,innoway,interferewiththeauthorityofthecharterschooladministratortohire,
superviseand,inaccordancewiththepersonnelpolicies,terminate,theremainingstaffofthecharter
school.Theboardofdirectorshiresthecharterschooladministrator.

AppointmentsandComposition
1. Appointmentsofthechairandmembersofthepersonnelcommitteeshallbemadeannuallybythe
presidentoftheboardwiththeadviceandconsentoftheBoardinaccordancewiththebylaws.

2. Thechairofthiscommitteeshallbeamemberoftheboardofdirectors.

3. Othermembersofthiscommitteeshallbemembersoftheboardofdirectors,subjecttothe
conditionsstatedinthebylaws.

Responsibilities
1. Provideoverallpolicyguidanceforpersonnelmattersinthecharterschool.

2. Submit,forfinalapproval,recommendationsonpersonnelpolicymatterstotheExecutive
committeeoftheboardofdirectors.

3. Providepolicyrecommendationstotheboardofdirectorsintheareasoftraining,employee
benefits,employeerelations,legalissuesrelatingtoemployees,recruitment,interviewing,selection
procedures,andthelike.

4. AnnuallyreviewtheperformanceoftheCharterSchoolAdministratoraccordingtotheprocedures
outlinedinthePersonnelPoliciesoftheorganization.(TheCharterSchoolAdministrator,inturn,is
responsiblefortheannualperformancereviewofotherstaff.)

5. Annuallysubmitobjectivesaspartoftheplanningandbudgetingprocess.

6. Annuallyevaluateitsworkasacommitteeandtheobjectivesithascommitteditselftoandreporton
sametotheboardofdirectors.

7. ReporttotheboardofdirectorsonaregularbasisinamannerdeterminedbytheBoard.

305

BoardDevelopmentCommittee

GeneralPurpose
Theboarddevelopmentcommitteeiscommissionedbyandresponsibletotheboardofdirectorsto
assumetheprimaryresponsibilityformatterspertainingtoboardofdirector'srecruitment,nominations,
orientation,training,andevaluationinaccordancewiththebylawsofthecharterschoolaswellas
establishedpoliciesandpracticesapprovedbytheboardofdirectors.

AppointmentsandComposition
1. Appointmentsofthechairandmembersoftheboarddevelopmentcommitteeshallbemade
annuallybythePresidentoftheBoardwiththeadviceandconsentoftheBoardinaccordancewith
theBylaws.

2. Thechairofthiscommitteeshallbeamemberoftheboardofdirectors.

3. Othermembersofthiscommitteeshallbemembersoftheboardofdirectors,subjecttothe
conditionsstatedinthebylaws.

Responsibilities
1. Studythecurrentcompositionoftheboardofdirectorstodeterminecurrentskillsandexperience
Identifyskillsandexperienceneededontheboard.

2. Recruitmemberstoserveasmembersoftheboardanddevelopaslateofdirectorsfor
considerationbythemembershipattheannualmeetinginaccordancewithselection/election
proceduresoutlinedinthebylaws.Reviewannuallytheproceduresforboardrecruitment.

3. Developanorientationandtrainingplanfornewboarddirectorsandassistintheplanningofthe
annualboardretreat.

4. Assisttheexecutivecommitteeinanannualboardselfevaluation.

5. Annuallysubmitobjectivesaspartoftheplanningandbudgetingprocess.

6. Annuallyevaluateitsworkasacommitteeandtheobjectivesithascommitteditselftoandreporton
sametotheboardofdirectors.

7. Reporttotheboardofdirectorsatregularmeetingsoftheboardinamannerdeterminedbythe
board.

306

ResourceDevelopmentCommittee

GeneralPurpose
Theresourcedevelopmentcommitteeiscommissionedbyandresponsibletotheboardofdirectorsto
assumetheprimaryresponsibilityforraisingnongrantfundstomeetthebudgetofthecharterschool.
Theboardofdirectors,inconsultationwiththeresourcedevelopmentcommittee,financecommittee
andcharterschooladministrator,willdeterminethefundraisinggoalfortheresourcedevelopment
committee.

AppointmentsandComposition
1. Appointmentsofthechairandmembersoftheresourcedevelopmentcommitteeshallbemade
annuallybythepresidentoftheboardwiththeadviceandconsentoftheboardinaccordancewith
thebylaws.

2. Thechairofthiscommitteeshallbeamemberoftheboardofdirectors.

3. Membersofthiscommitteeshallbemembersoftheboardofdirectors,subjecttotheconditions
statedinthebylaws.Additionalcommitteemembersmaybeappointedandneednotbemembers
oftheboardofdirectors,subjecttotheconditionsstatedinthebylaws.

Responsibilities
1. Developanannualfundraisingplanthatwillgeneratethefundsneededtomeetthenonpublicand
nongrantfundraisinggoal.

2. Developthenecessarysubcommitteesystemstosuccessfullycarryoutthefundraisingeventsand
activitiesthatarepartoftheannualfundraisingplansupervisethefunctionsofthesubcommittees
developaplanforinvolvingboarddirectorsinthenongrantresourcedevelopmentactivitiesofthe
charterschool.

3. Investigatenewresourcedevelopmentprojects,activities,andideasforpossibleuseinthefuture.

4. Annuallysubmitobjectivesaspartoftheplanningandbudgetingprocess.

5. Annuallyevaluateitsworkasacommitteeandtheobjectivesithascommitteditselftoandreporton
sametotheboardofdirectors.

6. Reporttotheboardofdirectorsatregularmeetingsoftheboardinamannerdeterminedbythe
board.

307

CommitteeChairJobDescription

1.
2.
3.
4.
5.
6.
7.

Isamemberoftheboard.
Setstoneforthecommitteework
Ensuresthatmembershavetheinformationneededtodotheirjobs.
Overseesthelogisticsofcommittee'soperations.
Reportstotheboard'schair.
Reportstothefullboardoncommittee'sdecisions/recommendations.
Workscloselywiththecharterschooladministratorandotherstaffasagreedto
bytheadministrator.
8. Assignsworktothecommitteemembers,setstheagendaandrunsthemeetings,
andensuresdistributionofmeetingminutes.
9. Initiatesandleadsthecommittee'sannualevaluation.

CommitteeMemberJobDescription

1. Regularlyattendsregularcommitteemeetingsandimportantrelatedmeetings.
2. Makesseriouscommitmenttoparticipateactivelyincommitteework.
3. Volunteersforandwillinglyacceptsassignmentsandcompletesthemthoroughly
andontime.
4. Staysinformedaboutcommitteematters,preparesthemselveswellformeetings,
andreviewsandcommentsonminutesandreports.
5. Getstoknowothercommitteemembersandbuildsacollegialworking
relationshipthatcontributestoconsensus.
6. Isanactiveparticipantinthecommittee'sannualevaluationandplanningefforts.
7. Participatesinfundraisingfortheorganization.

(Source:TheManagementAssistanceProgrambasedinSt.Paul,MNandCarterMcNamara,MBA,
PhD.)

308

BoardCommitteeAssignments

PleasereviewthecommitteestructureasoutlinedintheBoardProceduresManual.
Theboarddevelopmentcommitteewillbereviewingboarddirectorsinterestasit
pertainstocommitteeassignmentsanddeterminingappointmentstocommittee
positions.

Asanaidinthisprocess,weareaskingthatyoucompletetheformonthefollowing
page.Afterreviewingeachcommittee'sgeneralpurpose,compositionand
responsibilities,pleaseselectthree(3)committeesthatyouwouldbewillingto
serveon.Youwillonlybeexpectedtoserveonone(1)committeeunlessyou
indicateotherwise.

Committeesaretheimportantdrivingforceinaccomplishingourgoals.Wearein
needofstrongcommitteechairs.Thecharterschoolwillalwaysassistcommittee
chairsinthedevelopmentofagendasanddistributionofinformation.

Oncecommitteeassignmentsareinplace,wewillworktogetherondevelopmentof
ourmastercalendarfortheestablishmentofallmeetingdatesforthecomingyear.

Pleasecompletetheformandreturntoourofficenolaterthan______________.

Thankyouforyourassistanceinthismatter.

309

BoardCommitteePreferenceForm

Name:_____________________________________________________________________

Pleaselistthree(3)committeesinorderofpreferencethatyouwouldbewillingtoserveon.Wewill
keepcommitteeassignmentstoamaximumofone(1),unlessyouspecifyotherwise.

WILLINGTOCHAIR

CommitteeSelections
YES
NO

FIRST
PREFERENCE______________________________________________________________

SECOND
PREFERENCE______________________________________________________________

THIRD
PREFERENCE______________________________________________________________

DOYOUHAVESUGGESTIONSFORNONBOARDCOMMITTEEMEMBERS:

1. _____________________________________________________________________
NAME
COMMITTEE

________________________________________________________________________
ORGANIZATION/COMPANY

_____________________________________________________________________
ADDRESS
TELEPHONE#

2. _____________________________________________________________________
NAME
COMMITTEE

________________________________________________________________________
ORGANIZATION/COMPANY

_____________________________________________________________________
ADDRESS
TELEPHONE#

OtherCommentsorSuggestions:
________________________________________________________________________

310

311

AnnualBoardCommitteeReport

Insteadofaskingboardcommitteesonlyformonthlywrittenreportsorhavingonly
verbalreportsatboardmeetings,consideraskingcommitteechairstowritean
"AnnualReport"attheendofeachyeardescribingtheircommittees'activitiesand
decisions.Thesereportscanbeincludedwiththeboardminutesinthecharter
school'sformal,permanentrecords.Hereisasimpleformatthatcommitteescan
useforan"AnnualReportoftheCommittee":

AnnualReportfromBoardCommittee:___________ (NAME)_______

Asummaryreportonthecommittee'sworkthislastyear,withrecommendationsto
thestaffandthefullboardcoveringthefollowingpoints.

1. CommitteeName:

2. Periodoftimethisreportcovers:

3. Committeechair:

4. Committeemembers:

5. Themainobjectivesforthecommitteeduringthispastyear:

6. Summaryofmajoraccomplishmentsduringthelastyearandcurrentactivities:

7. Listofactivitiesinprogressandupcomingevents/discussions:

8. Recommendationstothecharterschooladministratorregardingcommittee
effectiveness:

9. Recommendationstotheboardofdirectorsregardingcommitteeeffectiveness:

10. Othercomments/suggestionsespeciallywithregardtocommitteeoperations,
structureandrelationswiththeboardasawhole:

312

SampleAnnualBoardandCommitteeCalendar
Meeting
Boardof
Directors

Executive
Committee

Finance
Committee

Personnel
Committee

Board
Development
Committee

ResourceDevel.
Comm.

StrategicPlan.
Comm.

MonthlyParent
Mtg

Jan

Feb

Mar

Apr

May

June

6/8
8:00am

Quarterly
Committee
ReportDue

5/4
8:30am

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

Quarterly
Committee
ReportDue

1/14
9:00am

2/18
9:00am

3/18
9:00am

4/15
9:00am

5/20
9:00am

6/17
9:00am

313

SampleAnnualBoardandCommitteeCalendar
Meeting
Boardof
Directors

July

Aug

Sept

Oct

Nov

Dec

8/10
8:00am

12/14
8:00am

Executive
Committee

7/13
8:00am

11/9
8:00am

Submitannual
committee
report

Finance
Committee

Beginwork
onbudget
withExec.

Bringbudget
toboardfor
approval

Submitannual
committee
report

Personnel
Committee

Perform
EDreview
andsalary
recommen
dationsfor
2000

Submitannual
committee
report

Board
Developmen
tCommittee

Recruitment
and
orientation
asneeded

Recruitment
and
orientation
asneeded

Recruitment
andorientation
asneeded
Submitannual
committee
report

Resource
Devel.
Comm.
Strategic
Plan.
Comm.
ParentMtg.

9/14
8:00am.
Quarterly
Committee
ReportDue
Begindraft
budget
proposalto
Executive
Committee.
Quarterly
Committee
ReportDue
Reviews
personnel
policies
recommend
ationsas
needed.
Quarterly
Committee
ReportDue
Nomination/
recruitment
process
activated
Quarterly
Committee
ReportDue
Quarterly
Committee
ReportDue

10/28:00
am
Approve
budget

Submitannual
committee
report

Quarterly
Committee
ReportDue

Submitannual
committee
report

7/15
9:00am

8/19
9:00am

9/16
9:00am

10/21
9:00am

11/18
9:00am

12/16
9:00am
314

Chapter11:BoardRoleInFundraising

CriticalBoardBuildingChallenge:Howcanthecharterschoolboardplayaneffectiverolein
fundraising?

WhyCharterSchoolsNeedToEngageInFundraising

Plainandsimple,manycharterschoolscannotmeettheirbudgetsbyrelyingonlyontheperpupil
allocationofpublicschoolfinancing.Thoughcharterschoolfinancingmechanismsdifferfromstateto
state,manycharterschoolsreceivelessthan100%oftheperpupilrevenuesthatgotootherpublic
schools.Andinalmostallstates,charterschoolsreceivenofundingfortheirschoolbuildingsthey
mustpayleaseorloancostsoutoffundingintendedforclassroominstruction.Asaresult,perpupil
revenuesmaynotfullycoverthecostofeducatingstudents,offeringsalariesandbenefitsthatwillattract
andretainskilled,dedicatededucators,orprovidingalloftheotherservicesexpectedofschoolstoday.

Thisisevenmoreimportantinschoolsservingchildrenthatcomefromlowincomefamilies.The
charterschool,eitheronitsownorthroughcollaborativeeffortswithyouthservingagencies,must
providearangeofsupportservicestochildrenandtheirfamiliesinordertoovercomebarriersthat
impedelearning.

Inaddition,thedangerofrelyingsoheavilyonpublicfundingisthatitmakesthecharterschool's
survivalevenmoreprecarious.Itisalwaysbetterforaschool,forthatmatteranyorganization,tohave
adiversifiedfundingbasethatincludes,inadditiontopublicdollars,annualcampaigndollars,
endowmentincome,specialeventincome,grants,bequestsandotherplannedgiftsaswellasinkind
donationsofgoodsandservices.Thinkofaoneleggedstoolandonewithsevenlegs.Whichoneof
66
thesestoolswouldgiveyouthemostsecureseat?"

Othersourcesoffundsmustbetappedandamongthese,boarddrivenfundraisingisoneofthemost
important.Thischapterwillexaminetheroleoftheboardincharterschoolfundraising.Newcharter
schoolboards,inexperiencedinfundraising,willseethischapterasafundraisingstarterkit.Other
boardscanusetheinformationtohelpfinetuneorcreatenewideasforfundraisingprogramsalready
inplace.

Innoway,however,doesthischaptercovereverythingthereistoknowaboutraisingfundsforyour
charterschool.TheToolsSectionincludesalistofresourcesyoucanusetodelvefurtherintothis

66

DeKuyper,MaryHundley,
TrusteeHandbook:AGuidetoEffectiveGovernanceforIndependentSchoolBoards
,
NationalAssociationofIndependentSchools,1998.

315


importanttopicarea.Thepurposehereistoprovideassimplyandasclearlyaspossiblesome
soundfundraisingguidelinesforcharterschoolboardstobuildon.

TheRoleoftheBoardinFundraising

Fundraisingitsnotjustforstaff.Thefoundationoftheboard'sroleinfundraisingistheboard's
responsibilitytoassurethattherearesufficientresourcestooperateschool.Thisresponsibilityis
includedinthelistofeightkeyboardresponsibilitiessetforthinChapter1ofthisguidebook.Someof
thisresponsibilityisdelegatedtothecharterschooladministratorbut,intheend,itistheboardthatis
responsible.

Fewboarddirectors,however,seethemselvesservingasfundraisers.Infact,someperceivefund
raisingaspersonallydistasteful.Othersareactuallyfearfulorunsureoftheirabilitytoraisefundsand
seeitassomeoneelse'sduty.Thebottomline:boarddirectorsarecriticaltothefundraisingsuccessof
thecharterschool.Atthesametime,effectivefundraisingrequiresateameffortofboardandstaff
workingcloselytogether.MilwaukeebasedMGTCornerstones,consultantstononprofitorganizations,
hasdevelopedthefollowinglistofcomplementaryboardandstafffundraisingroles.Thislistisnot
meanttobearigiddefinitionofroles.Therewillbevariationsbasedonthespecificneedsand
preferencesofcharterschools.

RolesOfTheBoardOfDirectors
:

Toensurethatallnecessaryresourcesareavailabletoaccomplishthemissionandgoalsofthe
organization.

Affirmthemission,goalsandobjectives.
Approvethebudget.
Acceptresponsibilityforimplementingfundraisingplans.
Assistinidentifyingsources.
Ascertainthemostappropriatestrategyforasource.
Appropriatepersonalfunds.
Attendmeetingswithfundingsources.
Approachpersonalcontacts.
Arrangespecialevents.
Appearatpublicaffairsandrepresenttheorganization.
Attractresourcefulpeople.
Acknowledgedonationsoftimeandmoney.
Askforthegrantorcontribution.

RoleOfTheStaff
:
316

Toprovidethesupportsystemandactivitiestoensurethatprivatefundraisinggoalscanbemet.

Draftgoalsandobjectives.
Preparebudgets.
Identifyprospects.
Researchpotentialdonors.
Developcomprehensiveincomeplans.
Packageorganizationalactivitiesasfundraisingprojects.
Writeproposals.
Producepromotionalmaterials.
Preparegrantapplications.
Contactfundingsources.
Providebackupsupportforspecialevents.
Solicitcommunitysupport.
Implementfundraisingactivities.
Reporttothefunddevelopmentcommitteeandfundingsources.
Compilestatistics.
Maintainaccurateandthoroughrecords.
Prepareboardofdirectorstomeetwithcurrentandpotentialfunders.
Scheduleboardofdirectorstoattendpublicevents.
Thankdonorsprivatelyandpubliclyasappropriate.

FundraisingPrinciplesforBoardDirectors

Thefollowingprinciplesandfundraisingchecklistforboarddirectorsareexcerptedfromapublication
oftheNationalCenterforNonprofitBoardsentitled
FundRaisingandtheNonprofitBoardMember
,
byFisherHowe.Hestronglyrecommendsthateveryboarddirectorfullyunderstand,acceptandgive
fullattentiontothefollowingfiveprinciples:

Principle#1
:Theboardisultimatelyresponsibleforattractingfundingresourcestoensure
thefinancialviabilityofthecharterschoolanditseducationalandsupportprograms.

Aneffectiveboarddirectorunderstandsthattheresponsibilityforfundraisingisinescapable.Tomeet
thisresponsibility,theboardmayfinditusefultoappointafinancialdevelopmentcommittee(described
below)tobringfocusandforcetotheboard'sowneffortsandtoworkwiththestaff.

Boarddirectors,however,cannotturnovertheentirefundraisingtasktothecommittee,anymorethan
theycoulddosotostaffortoanoutsideconsultant.Indeed,formulatingthefundraisingprogram,
makingrecommendations,draftingproposals,preparingbrochures,composingcorrespondence,
keepingthelistandrecordsthesetasksareprincipallystafffunctions.Buttheboardisstillresponsible
formakingsurethejobisdone,anddonewell.

317

Principle#2
:Askingforandgivingmoneyarenaturalprocessesandneednotbeviewedas
somethingtobeavoided.

Peoplegivemoneybecausetheywantto.Youareinvitingwillingcooperation.Inaveryrealsense,
whenyouaskanindividual,foundationorcompanytosupportahighlyreputableorganizationlikeyour
charterschool,youareofferingthepotentialdonoranopportunitytodosomethingthatcangive
pleasureandberewardinganopportunitythatthedonor,withoutfeelingimposedupon,canacceptor
decline.Atthesametime,allrequestsforcontributionsorgrantsshouldbecouchedintermsof
considering.Inthatform,theaskingcannothurteithertheaskerorthegiver.

Peoplemaynotgiveunlesstheyareasked.Equallyimportant,peopledon'tgivelargedonationsunless
theyareaskedtoconsiderlargedonations.Theymanynotgivethesuggestedamount,butthey
certainlywouldnotgiveatthatlevelunlesstheyhadbeenaskedtoconsiderit.Andtheirultimate
contributionwillalmostsurelybegreaterforhavingbeenaskedtoconsidergivingalargeramount.

Peoplegivemoneytopeople.Neverunderestimatethepersonalequationinaskingandgiving.The
personaltouch,thepersontopersonrelationship,underliesmostphilanthropy.

Peoplegivemoneytosuccess,nottodistress.Everyonelikesawinner.Inotherwords,contributors
givetoopportunities,nottoinstitutionsbecausetheyneedmoney.Therefore,wheneverraisingfunds,
boarddirectorsshouldpointtoyourschool'sachievementsandsuccesses,andnotsimplytheneedfor
funds.

Inshort,askingformoneyisnotsomethingtobeseenasunpleasant.Youarenotpressuringor
invadingsomeone'spersonaldomainwhenyouaskforsupportforyourcharterschool.Youshouldnot
thinkofitasanunpleasanttask.Instead,youshouldthinkofaskingsomeonetomakeacontributionas
givingthemanopportunitytomakeadifferenceinyourcommunity.

Principle#3:Boarddirectorsshouldhelpinpreparingthe"case,"whichistherationalefor
supportingthecharterschool,andtobeabletoexplainthecasepersuasivelytoprospective
donors.

Thecaseiscriticallyimportanttosuccessfulfundraising.Althoughstaffplayamajorpartinformulating
thecase,boarddirectorsshouldbeinvolvedintheprocess.Thecaseistooimportanttoleaveto
others.

Whereasthemissionstatementisaninternaldocumentdefiningthepurpose,programs,plansand
prioritiesofthecharterschool,thecaselooksatthecharterschoolfromtheperspectiveofthe
supporter:itpresentsthereasonswhythedonor/prospectwouldwanttocontribute.Itarticulatesthe
underlyingconceptofwhypeopleshouldsupportthecharterschool.Itistheprospectusforinvestment
foralldonorprospects.

318


Asaresult,thecaseforsupportmustbebasedfirstandforemostoncommunityneedsandthemission
ofthecharterschool,whatismissingandwhatisthefocusontheproblem.Onlythenshouldthecase
describewhatthecharterschoolisdoingtosolvetheproblem,andforhowlongithasbeendoingso.
Thereismoreinformationaboutdevelopingthecasebelow.

Principle#4:Everyboarddirectorcandosomethingusefultosupportthefundraisingeffort,
employinghisorherownskillsandinterests.

Boarddirectorscanassistsignificantlyinfundraising,firstbygivingthemselves.Apersonalfinancial
commitmentunderlieseachboarddirector'sresolvetosupportthecharterschool.

Second,boarddirectorsshouldhelpprepareforactualsolicitation.Herearesomeexamplesofways
boarddirectorscanhelp:

CULTIVATION.
Cultivationmightconsistofinvitingaprospect/donortoeventsandsocial
gatheringsofyourcharterschoolorarrangingforanopportunitytodiscussthecharterschool's
missionandcaseforsupport.Whobetterthanaboarddirectortocarryoutsuchcultivation
activities.

MAJORGIFTS.
Whenaskingforalargecontribution,itiscriticaltoselecttherightpersontodo
theaskingandtorequesttherightamount,fortherightreasons,intherightway.Nooneisina
betterpositionthanaboarddirectortogetthese"rights"inorderandtoassistintheselectionand
evaluationofprospectstoensuretheultimatesuccessofthesolicitation.

CORPORATE/FOUNDATIONGIVING.
Suchgivingoftendependsonpersonalcontact.Not
onlymustcorporateprospectsbeselectedandevaluatedthroughresearch,butaboarddirector's
introductiontotheappropriatecompanyorfoundationofficermaybecomethekeytosuccess.

PERSONALNOTES.
Forindividuals,foundationsandcorporation,apersonalnotefroma
boarddirectorinsupportofarequest,orinacknowledgmentofagift,cancementarelationship
andincreasethechancesofthefirstcontributionandotherstofollow.

MAILINGLISTS.
Boarddirectorsareakeysourceofnewnamesandlikelyprospectsforthe
mailinglist.Theycansupplynamesfromtheirpersonalandbusinessaddressbooks,theirclubs,
andtheirchurches.Boarddirectorsreceivingappealsandinvitationsfromothercharterschoolscan
passontostaffthenamesofothercommunityleaderswhoarepotentialdonors.

ANNUALAPPEALS.
Experienceshowsagainandagainthatifapersonalnoteaccompaniesor
isevenwrittenontheformalletterofrequest,thechanceofapositiveresponseincreasesgreatly.
Somethingassimpleas,"Idohopeyouwill(again)considerhelpingourcharterschoolthatdoes
suchfineworkinthecommunity,"writtentoafriendorcontact,isnotsomuchpressuringsomeone
asitissupportingtheworkofaqualitycharterschool.

319


Principle#5
:

M otivationofboarddirectorsisthemostcriticalandthemostdifficulttaskof
all.Indifferencewillnotraisemoney.Boarddirectorsandstaffneedtobeenthusiasticabout
thepurposeofthecharterschoolandshoweagernesstobeinvolved.

Manyeffectiveboardsbelievethattheboarddevelopmentcommittee,thegroupthatselectsnew
members,isthemostimportantofallitscommittees.Theboardchairpersonshouldbeactivelyinvolved
intherecruitmentprocess.Yourschool'sdevelopmentstaff(ifyouhaveany)shouldbeinvolvedwith
theboarddevelopmentcommittee.Thedevelopmentstaffcanassistthecommitteeinidentifying
communityleadersforthecommitteetoreview,providingbackgroundinformationontheprospective
boarddirectors,aswellasprovidingfollowupandsupportfornewmembersandalternates.

Newboarddirectorsshouldbeselected,inpart,basedontheirabilitytomovepeopletoaction,to
communicatepersuasivelyandtostrengthentheconfidenceoffollowers.Also,involvementisacore
elementofmotivation.Yourcharterschooladministratorshouldapproacheachboarddirectorwitha
clearideaofwhatisneededandexpectedandaskforsupportonspecifictasks.

Afunddevelopmentcommitteecanhelpfocusattentiononfundraisingandgiveeventhemostreluctant
boarddirectoranopportunitytohelpinthefundraisingeffort.

Inshort,aseachboarddirectorcomestorealizethatfundraisingisindeedhisorherresponsibility,that
thenaturalprocessofgivingandaskingdoesnotpresentlifethreateningperilandthataboarddirector
candomanydifferentthingstosupportthefundraisingeffort,heorshewillbecomemoreactiveand
committed.Manywillfindthattheyenjoythechallengeofraisingfundstosupporttheircharterschool.

FundRaisingChecklistForBoarddirectors
:

1. DoIunderstandtheplansandprogramsforfundraising?
2. DoIfullyunderstandandendorsethe"fundraisingcase"whichexplainssomeoneshould
contribute?CanIarticulatethecasewithconfidence?
3. DoIpersonallycontributetothefullestmeasurewithinmymeans?
4. DoIcontinuallyoffermyadditionstothemailinglist?
5. DoIassiststaffinidentifyingandevaluatingprospectsindividuals,corporationsandfoundations?
6. DoIshareincultivatingkeyprospects?
7. DoImakeintroductionsforotherstomakeasolicitationvisit?
8. DoIaccompanyothersinsolicitationvisits?
9. DoIwritefollowupandacknowledgmentletters?
10. DoIwritepersonalnotesonannualappealletters?
11. AmIpreparedtomakeasolicitationmyself?
12. DoIdowhatIsayIwilldo?

CreatingaStrongFundDevelopmentCommittee

320


Regardlessofwhatfundraisingactivitiesyourcharterschooldecidestoemployinitsannualcampaign,
itshouldstartbyestablishingastrong,activefunddevelopmentorfundraisingcommittee.Thisshould
beastandingcommitteeoftheboardandthereshouldbeawrittencommitteedescriptionasdiscussed
inChapter11ofthisguidebook.AsampledescriptionisincludedintheToolsSectionofthischapter.

Thefirststeptowardcreatingastrongfunddevelopmentcommitteeisfortheboard(orboardchair,
dependingontheapplicablebylawprovisions)toappointacommitteechair.Thechairsetsthepace,
definestheattitudesandprovidestheleadershipnecessaryforplanning,organizingandbuildingthe
necessaryvolunteerteamforconductingsuccessfulfundraisingcampaigns.

Undertheleadershipofthechair,thefunddevelopmentcommitteeisresponsibleforthefollowing:

Solicitingcurrentboarddirectors.Thegoalofeveryfunddevelopmentcommitteeistoget100
percentboardparticipation.

Recruitingfundraisingvolunteers,anddevelopingandimplementingaprogramfororientingand
solicitingfundsfromvolunteers.

Developingwrittenplans,estimatedbudgets,anddollargoalsforfundraisingprogramstobe
reviewedandratifiedbythecharterschool'sboard.Theseplans,reflectingaperiodofatleastthree
years,shouldbereviewedsemiannuallyforappropriatepayoffsandcost/benefitadjustments.

Developingandconductingannualpersonalsolicitationprogramsonbehalfoftheboardtomajor
donors,corporationsandfoundationswhohavebeenidentifiedaspotentialsupportersofthe
charterschool.

Organizingandconductingspecialeventfundraisingprograms.

Assistingindevelopmentandmaintenanceofdonorrecordsandreportingprocedures.

Evaluatingfundraisingsuccessesatleastonceayear,andmakingappropriaterecommendationsto
theboardformaximizingresults.

TrainingtoSupportTheBoardsFundraisingRole

Manyboarddirectorsdon'twanttoraisemoneybecausetheydon'tknowhow.Thisreluctancecanbe
counteredbysimplyaskingthemiftheywouldbewillingtotryifthecharterschooloffersthemsupport
andtraining.Oftenthiswillincreasetheirconfidencetogetinvolved.

321


Inmanycommunitiesthereareorganizationsthatprovidefundraisingtrainingtoboarddirectorsaswell
asstaffoforganizations.AgoodsourceofsuchsupportisthelocalchapteroftheNationalSocietyfor
FundraisingExecutives(NSFRE).Tolocateachapternearyourcharterschool,checktheWebsiteat
www.nsfre.com
.

Thinkaboutwaysyoucanintegratethefundraisingtrainingintotheprogramofboardorientationand
ongoingeducationdescribedearlierinChapter3ofthegovernanceguidebook.Especiallyfornew
boarddirectors,thishastheadditionalbenefitofreinforcingthemessagethatboarddirectorsofthe
charterschoolareexpectedtohelpraisefunds.Alsoconsiderincorporatingthefundraisingtrainingin
theannualboardretreatdescribedinChapter13.

CreatingAFundDevelopmentPlan

Anothercriticalelementinfundraisingeffectivenessisawrittenfunddevelopmentplanthatsetsgoals
forthecharterschool'sincome,typicallyoverathreetofiveyearspan.Thefinancialdevelopmentplan
shouldincorporatespecificobjectivesandactionstepsthatwillhelpthecharterschoolacquireand
effectivelyusethefinancialresourcesitneeds.

Funddevelopmentplanningalsorequiresenthusiasticsupportandcooperationfromyourcharter
school'sboardofdirectors,managementandpaidandvolunteerstaff.

Aspartoftheplanningprocess,thefunddevelopmentcommitteeandcharterschooladministrator
shouldconsidertheschool's:

Strengths
Astrongboard?Reliablesourcesofrevenue?Fundraisingeffortsthathaveproven
successfulinthepast?

Weaknesses
Futurelargescaleexpenditures(i.e.morefacilityspace,computers)?Better
communityawarenessprograms?Needforagreatervarietyoffundingsources?Needforclearer
linesofauthoritywithinthecharterschool?

Opportunities
Possiblenewfundingsources?Newprogramstoservestudentsandfamilies?

Challenges
Similarschoolsandotherorganizationsservingchildrenthatarecompetingforthe
samefundingsources?

Indraftingthefunddevelopmentplanalltheresearch,analysisanddiscussionsofpossibilitiescome
togetherinadocumentthatwillguidethecharterschoolforseveralyears.Thefunddevelopmentplan
should:

322


Includeabriefoverviewthatdescribesthestudents,familiesandcommunityserved,providing
relevantdemographicdataandanticipatedchangesthatarerevealedintheschoolsneeds
assessmentandmarketingdata.

Establishfunddevelopmentgoalsandsetrealisticobjectivesandtimetablesformeetingthosegoals,
includingspecificdollaramountsexpectedtoberaisedtofundspecificschoolprogramsand
activities.

Includealistoffinancialdevelopmentchallenges.Example:"Todiversifythecharterschool's
fundraisingsourcessothatbyfiscalyear20012002nomorethan75percentoftheCharter
school'sfundsforoperatingexpensescomefrompublicsources."

Includerealisticprojectionsoftotalincomeandexpensesforthenextthreetofiveyearswhichfor
mostcharterschoolswillcoincidewiththelifeofthechartercontract.

Thefunddevelopmentplanshouldbeasdetailedasnecessarytogivethecharterschoolaclear,
accurateandhonestpictureofitsfinancialfuture.Doneproperly,agoodfunddevelopmentplanwill
helpthecharterschooltakeadvantageofstrengths,shoreupweaknesses,openupopportunitiesand
diffusethreatstothecharterschool'sfinancialwellbeing.

Itisextremelyimportantthatthefunddevelopmentplanalsoincludeacasestatementthatclearlyand
conciselyarticulatestheneedforpublicsupportofthecharterschool.

DevelopingTheFundraisingCase

Animportantresponsibilityoftheboardsfunddevelopmentcommitteeistocreateafundraisingcase
statement.Astrongcasestatementiscriticallyimportanttothesuccessofthecharterschoolsfund
raisingefforts.Thecaselooksatthecharterschoolfromtheperspectiveofthesupporter.Itsetsforth
thereasonswhythedonor/prospectshouldwanttocontributetoyourcharterschool.Itinterpretsand
explainsthemissionoftheorganization.Itistheprospectusforinvestment.Thecaseessentially
answersthequestionswhy,what,who,andhow:

Whydoesthecharterschoolexistwhatisthemissionwhyisyourcharterschoolessentialto
meetingspecificeducationneedsofthecommunity?

Whatdoesthecharterschooldotomeetthoseneeds?Whatisinnovativeabouttheapproach?

Whoisthecharterschool?Whoareitsleadersandrepresentatives?

Howwellandhowlonghasitserveditsconstituencyandthecommunity?

Whendraftingthecasestatement,includethefollowing:

323


Statetheneedsthecharterschoolistryingtoaddress.Notethatthesearenotthecharter
school'sneeds,buttheneedsofstudentsandtheirfamilies.Includeastatementofthe
problems,thescopeorthenumberofpeoplebeingaffected,howwideageographicareais
affectedandlikelyconsequencesifnoactionistaken.

Explaintheservicesthatthecharterschoolprovidestorespondtotheseneeds.State
specificallywhattheschooldoesandhowitsactionsaddresstheneeds.Explainthe
financialrequirementsoftheservicesprovidedandtheresourcesnecessarytomaintain
them.

Documentthecharterschoolsabilitytoprovidetheeducationalandrelatedservices.
Discussthecharterschool'smission,history(bebrief),currenteducationalprograms,
achievementandrecognitioninthecommunity.Describecapacitytoprovideleadershipand
staffing.Includeanabbreviatedfinancialstatementtoindicatetheabilitytomanagefunds.

Statethedollarrequirementsofthecharterschool.Statewheretheschoolintendstoseek
supportandlistsupportalreadyreceived.Includetestimonialsorlistgiftamountsalready
receivedfrominfluentialpeople.(Besureyougettheirpermissionfirst.)

Describethespecificbenefitstostudentsandfamilies.

Askforagift.Explainhowagiftcanbemadeandhowitwillsupportthecharterschool,
resultinginbenefitstopeople.Indicatehowthedonorwillberecognized.

Usethefollowingchecklisttoevaluateyourcasestatement:

Isthecaseclear,concise,andunderstandable?

Istheproblemcompelling?

Isthefocusonpeople,notinstitutions?

Isthereasenseofurgency?

Doesthecasehaveemotionalaswellasrationalappeal?

Doesthecasecommunicateoptimismandhopeforthefuture?

Doesitaskthedonor'ssupport?

Witharealisticfundraisingplaninhandthatlooksthreetofiveyearsahead,andastrongcase
statementthatclearlydescribeswhyyourcharterschoolisworthsupporting,theboardhastakenthe
firstmajorstepstowardsuccessfulfundraising.

324

TypesOfFundRaisingActivities

Thecharterschoolfunddevelopmentcommitteeandtheboardofdirectorsdrivethefundraising
activitiesoftheschool.Avarietyoftheseactivitiesmaygointomakingupasuccessfulannual
campaign,includingfriendsmembershipdrives,directmailsolicitation,majorgiftgiving,specialevents,
solicitationofcorporationsandfoundationsandmore.

Here,wewilltouchbrieflyonseveraltypesofthesefundraisingactivities:

MembershiporFriendsDrives

Charterschoolsshouldconsiderdevelopmentofafriend'smembershipprogram.Throughsuchan
effort,communitysupportersofthecharterschoolhaveawaytocontributefunds.Prospectivefriends
comefromtheextendedfamilymembersofchildrenenrolledintheschool,andotherswhosupport
effortstoimproveeducationinthecommunity.Friendscanbesolicitedforsmallannualcontributions
throughanyoftheannualeventssponsoredbythecharterschool.Withpropercultivation,somefriends
canbeapproachedinthefutureforlargerdonations.

Inadditiontoraisingfunds,friendmembershipdrivesalsohelpraisetheprofileofthecharterschoolin
thecommunity.However,unlessyourfriendsmembershipdriveisextremelysuccessfulandraises
lotsofmoney,itshouldbeconsideredonlyonesmallcomponentofyourannualcampaign.

FundraisingLetterAppeals

Agoodfundraisingappeallettershould:

Betimely,takingadvantageofanywindowsofopportunity.Lettersthatcanbetiedtoaspecial
causeoreventaregenerallystrongerandmoresuccessful.

Discusseducationissuesanduniquecontributionofthecharterschool.Thelettershouldshowina
compellingwaywhyimmediatesupportisnecessarytoaddresseducationalissuesthatthecharter
schoolisuniquelyequippedtosolve.

Statehowthecharterschoolwilladdresseducationalconcernsofthecommunity

Askforacontribution.Toooften,letterssimplydescribetheproblemortheneedforsupportbut
failtocommunicateaclear,urgent"ask."Theaskisdoublyeffectivewhenitisspecificallytiedto
thedonor'scomfortlevel,thatis,thedollarrangeofthedonor'spreviousgift.Thistechnique
speaksloudlyandclearlyforgoodrecordkeeping.

Explainclearlyhowtomakethegiftandhowitwillbeused.

Finally,thanktheminadvanceforthesupportyouanticipate.
325

MajorGifts

Amajorgiftisonethatisextraordinaryinrelationtotheusualsizeofgiftstoyourcharterschool.Gifts
ofthissizeareusuallyrequestedbypersonalfacetofacesolicitation.Howlargeisa"large"
contribution?Thatdependsonyourcircumstances:foronecharterschool,itmightbe$5,000another
charterschoolmightconsider$250amajorgift.

Whatiskeyhereisthatamajorgiftisusuallynottheresultofdirectmailsolicitation,aspecialeventor
friendsmembershipdrive.Rather,amajorgiftcomesattheendofaprocessof
research
findingout
whoinyourcommunityiscapableofmakingamajorcontribution,whatmotivatesthemtogive,and
whatwouldinspirethemtogivetoyourcharterschool
cultivation
buildingapersonalrelationship
betweentheprospectivemajordonorsandyourschooland
solicitation
makingthe"ask.

Thisisanareaoffundraisinginwhichhavingboarddirectorswhoareactive,wellknow,
wellconnected,andwellrespectedinyourcommunitymakesallthedifferenceforitistheywhoare
usuallythemostsuccessfulwhenitcomestosolicitingmajorgifts.Andthisisbecausetheyhave
personalrelationshipswithpotentialmajordonors.

SpecialEvents

Specialeventscanbeasdiverseandcreativeasthecharterschoolsthatsponsorthem.Awordof
cautionwhenitcomestosponsoringspecialevents,however:theyaretimeconsumingtoorganize,
laborintensive,usuallyexpensivetoputonandoftendonotbringinenoughmoneytojustifytheeffort.
Theymaybejustifiableifthatmeetotherimportantobjectives:forexample,increaseawarenessofthe
charterschoolinthecommunityorprovideopportunitiesforstudentstobeinvolvedinfundraising

CorporationsAndFoundations

Solicitingcorporationsandfoundationsshouldbeamajorcomponentofyourannualfundraising
activities.VolunteerCentersshoulduseeveryopportunitytoworkwithandbuildrelationshipswith
corporationsandfoundations.Thesecontactswillleadtogrants,inkinddonations,probonowork,
employeevolunteerism,potentialboarddirectors,othercontactsandprestigewithinthebusiness
community.

ProductSales

Wehaveallseenthebumperstickerthatreads"ItwillbeagreatdaywhenthePentagonneedstohold
acandysaletoraisefunds.Itwillalsobeagreatdaywhenparentsandstudentsdon'thavetosell
candybarstohelpmeetthebudgetoftheirschool.Ithasbeenacommonpracticeforproductsalesof
candy,plants,holidaywrap,andmoretoserveasthemainstayofschoolfundraising.Someschools
326


havebeguntoabandonproductsalesformoreproductivefundraisingactivities.Inoneschool,parents
refusedtosellcandyanylongerandinsteadorganizedaReadaThoninwhichstudents,fornumbersof
bookstheycommittedtoread,solicitedpledgesfromneighbors,friendsandfamilymembers.The
eventraisedsignificantlymoremoneythantheproductsales,requiredfarfewervolunteerhoursto
complete(withtheexceptionofthereadingtimebystudents),withtheaddedbenefitofpromoting
reading.Inanotherschool,thefundraisingcommitteecanceledaproductsaleandorganized,inits
place,aphoneathoninwhichcommitteememberscalledparentsandfriendstorequestcharitable
donations.Again,theactivityraisedmoremoneyandrequiredfewervolunteerhours.

LevelsofBoardInvolvementinFundraising

Asthecharterschoolgrowsanddevelops,theboardsinvolvementindevelopingresourcesalso
changes.Thereare

severalstagesoforganizationalevolutionwithdistinctrolestobeplayedbyboard
ofdirectorsandstaffmembers,whichchangeasthecharterschoolsfundraisingeffortsbecome
increasinglysophisticated.ManagementCornerstoneshasdevelopedthefollowingmodeltodescribe
thedevelopmentofboardinvolvementinfundraising:

LEVELIGettingstarted

Emphasisonlocalfundraising,particularlyonsmallspecialevents.
Everybodyhelpsalittlewithfundraising.
Everyboarddirectormakesapersonalcontributioncommensuratewithability.

LEVELIICoveringtheBasics

Emphasisonraisingfundsthroughgrants.
Thecharterschooladministratorplaysakeyroleasthestaffpersonprimarilyresponsiblefor
writingproposalsandmakingallormostofthecontactswithdonors.
Theboardparticipatesinfundraisingbysponsoringlargerspecialeventsandattendingsome
meetingswithfoundationsandcorporations.

LEVELIIIDiversifyingtheIncomeBase

EmphasisshiftsfromgrantsfundingoveralloperationstoprojectspecificfundingOperations
arefundedbyspecialevents,subscriptionsormemberships,andanindividualdonorbase.
Thecharterschooladministratorisstilltheprimarydevelopmentstaff,butreceivessupportfrom
otherstaffinwritingproposalsandresearchingnewsources.
Theboardmakespersonalcontributions,conductsamajorspecialevent,andsolicitstheir
colleaguesandfriends.

LEVELIVMaintainingaWideRangeofDonors

Emphasisisspreadoveravarietyofmethodsincreasingfiscalstabilitywithacombinationof
fundraisingandfinancingstrategies.
327


Thecharterschooladministratorsolicitsfunds,withschooldevelopmentstaffhandlingall
research,writing,andrecordkeepingsystems.
Theboardsolicitstheirowncontacts,aswellasnetworksofcontacts,andcontinuestosponsor
amajorspecialevent.
Honoraryandauxiliaryboardsmaybeformedtoassistwithfundraising.Aspecialcommittee
maybecreatedtoconductaspecificfundraisingcampaign,e.g.,capitalorendowment
campaign.

Anapproximatebreakdownoftypicalinvolvementbyboardandstaffinthedifferenttypesofpotential
67
fundraisingactivitiesfromvarioussourcesfollows:

FundingSource
BoardTimeInvolved
StaffTimeInvolved
Government
5%
95%
Foundations
25%
75%
Corporations
50%
50%
Bequests
75%
25%
Localcommunity
50%
50%
Specialevents
80%
20%
FundingSource
BoardTimeInvolved
StaffTimeInvolved
Individuals

Boarddirectors
100%
0%
Generalpublic

Directmail
2%
98%
Annualgivers
50%
50%
Majordonors
80%
20%
Members/subscribers
2%
98%

DevelopedbyManagementCornerstones,MilwaukeeWI,1988.

67

328

Chapter11:ToolsYouCanUse

SamplesOfFoundationDocuments
SampleFundraisingCommitteeDescription(Source:NationalAssociationofIndependent
Schools)
SampleResourceDevelopmentCommittee(SeeToolsSectioninChapter10)
SchoolEndowment:SamplePolicyStatement(Seethefollowingwebsite:IndependentSchools
AssociationoftheCentralStatesat
www.isacs.org
clickonMonographs,thenscrolldown
andclickonBusinessOperationsforsampleschoolendowmentpolicies.)

EssentialResourcesforBoardInvolvementinFundraising
Boschee,Jerr,
MergingMoneyandMission:ABoardMembersGuidetoSocial
Entrepreneurship
,NationalCenterforNonprofitBoards,1998.
Brinckerhoff,PeterC.,
FinancialEmpowerment:MoreMoneyforMission
,JohnWileyand
Sons,1996.
DeKuyper,MaryHundley,
TrusteeHandbook:AGuidetoEffectiveGovernancefor
IndependentSchoolBoards
,NationalAssociationofIndependentSchools,1998.Especially
Chapter5.
FoundationCenter(Website:http://fdncenter.org/)
Howe,Fisher,
FundRaisingandtheNonprofitBoard
,NationalCenterforNonprofitBoards,
1998.
Klein,Kim,
GrassrootsFundraisingJournal
,ChardonPress.(Dontletthetitlefoolyou.Kim
Kleinisoneofthebestfundraisingtrainersandconsultantsinthecountry.Thebimonthly
journalhaswithstoodthetestoftime.Anexcellentresourceforcharterschoolsneedingto
diversifytheirrevenuebase.Website:
www.chardonpress.com
.)
NationalAssociationofFundRaisingExecutives.Goto:
www.nsfre.org
.
Scanlon,EugeneA.,
CorporateandFoundationFundRaising
,AspenPublishers,1997.
Thorton,Grant,
PlannedGiving:ABoardMembersPerspective
,NationalCenterfor
NonprofitBoards,1999.

329

FundDevelopmentCommittee

JobDescription
Firstappearedin
TheTrusteeHandbook,SeventhEdition
,byMaryDeKuyper,publishedbytheNational
68
AssociationofIndependentSchools.Reprintedwithpermission. )

Responsibilities:
Theprimaryroleofthedevelopmentcommitteeshallbetoadvisetheboardandstaff
oftheschoolonallmatterspertainingtofunddevelopmentandtooverseeandcoordinatetheongoing
funddevelopmenteffortsoftheschool.Thespecificcommitteeresponsibilitiesshallbeto:

Establishdevelopmentgoalsandorganizationalstructures.
Approvetheannualfunddevelopmentplan(includingthecasestatement,calendar,budget,
goals,etc.)andinformtheboard.Theboardwillapprovethegoalaspartoftheannualschool
budgetprocess.
Identifywaysboarddirectorscanbeinvolvedintheraisingoffundsandmatchindividualboard
directorswiththeactivitiesthatmatchhisorherskillsandinterests.
Identifyandassistwiththerecruitmentofvolunteers(includingparentsandalumni)forthe
variousfundraisingactivities.
Assistintheidentificationofmajordonors.
Makecontactwithsolicitmajordonorswhenacommitteememberistherightpersontomake
suchacontact.
Adviseontheschoolscommunityrelationsandcommunicationsplanasitrelatestofund
developmentactivitiesfortheyear.
Monitortheprogressoftheannualcampaignandkeeptheboardinformed.
Coordinatewiththecapitalcampaigncommittee,iftheschoolisundertakingsuchacampaign.
Establishandimplementasystemofrecognitionforboardandothervolunteerswhoareactive
infundraising.

CommitteeMembersandStaff:
Developmentcommitteemembersshouldbepeoplewho:

Arecommittedgiverstotheschoolandbelieveinthemissionoftheschool.
Areskilledinfundraisingorwillingtolearntheskillstodothejob.
Arehighlyregardedbytheschoolcommunity.
Willingtogivethenecessarytime.
Thesizeofthecommitteedependsonthenumberoftaskstobeaccomplished,butnotsolarge
thatthechairspendsallhis/hertimefacilitatingmeetingsandotherlogistics.7to10membersis
theaverage.
Thecommitteeshouldbestaffedbytheschooldevelopmentdirectorortheschooladministrator
orher/hisdesigneeifthereisnodevelopmentdirector.
Thedevelopmentcommitteeshouldmeetatleastquarterly.Therewillbetimeswhenthe
committeemayneedtoincreasetheregularfrequencyofthesemeetingstomonthlyoreven
weekly.Inaddition,membersshouldalsobeoncallforindividualassignments.

68

DeKuyper,MaryHundley,
TrusteeHandbook:AGuidetoEffectiveGovernanceforIndependentSchoolBoards
,
NationalAssociationofIndependentSchools,1998.

330

Chapter12:BoardSelfAssessment

CriticalBoardBuildingChallenge:Howdoesthecharterschoolboardcontinuouslyenhance
itseffectiveness?

Introduction

Boardselfassessmentreferstoasetofpracticesusedtoexamineboardperformanceagainststandards
thatdefinegoodperformance.Boardassessmentisnotunlikeschoolassessment.Likeschool
assessment,itneedstobeviewedaspartofcommitmenttocontinuousimprovementoftheboards
performance.

Theboardplaysanessentialroleingoverningthecharterschool.Atthesametime,evaluatingthe
performanceofgoverningboardsisnotacommonpracticecertainlynotascommonasassessment
ofthecharterschooladministrator.Becausesomuchisridingontheeffectivenessoftheboardin
carryingoutitsrolesandresponsibilities,itisimportantthattheboardspendstimelookingatitsown
performanceinordertoimproveit.Boarddirectors,eventhoughtheyarevolunteers,wanttheirtime
andskillstobeusedwelltheydonotwantthemwasted.Withthegoalofboardassessmentas
improvement,notjudgment,boardswillfindgreatvalueinexaminingtheirperformance,andcharter
schoolwillbenefitgreatlyaswell.

AccordingtoRichardP.Chait,ThomasP.Holland,andBarbaraE.Taylorin
Improvingthe
PerformanceofGoverningBoards
.
"Assessmentoffersapracticalmeansan'excuse'orcatalystto
initiateandsustainattentiontoboardperformance,tostimulateselfreflection,andtotrackchangesover
time."

Thisactivityiscalled"boardselfassessment"becauseitisanactivitylimitedtoboarddirectorsand
becausetheboardmakesthedecisiontoconductit.Whiletheadministratorservesatthepleasureof
theboardandhisorherperformancetypicallyisevaluatedbytheboard,itisuptotheboarditselfto
determinewhetherandhowtoexamineitsownperformance.Boardselfassessmentcantakeavariety
offorms.Sometimesboardswillchoosetouseoutsideconsultantstofacilitatorprocess.Asexpected,
thereisnoonerightwaytodoit,butagoodprocesswillproduceanswerstomanyofthefollowing
questions:

1. Whowillberesponsibleforinitiatingandconductingtheboardassessmentactivities?
2. Aretherewrittenpoliciesdefiningthescopeofboardperformanceassessmentandhowitwill
beconducted?
3. Howoftenwillbeassessmentbeconducted?
4. Willanoutsidefacilitatorbeusedtohelpconducttheassessment?
5. Whatkeyissueswilltheprocessfocuson,andhowwillinformationbegathered?
6. Willtheassessmentbebasedonstandardsofboardeffectiveness?
7. Willtheperformanceoftheboardandadministratorbeassessedsimultaneously?
331


8. Willtheboardassessmentgivespecialattentiontotheperformanceoftheboardchairin
additiontoindividualboarddirectors?
9. Whatarethecriteriaforindividualtrusteeassessment?
10. Howwilltheresultsoftheboardselfassessmentbeused?
11. Basedonpastexperience,shouldtheboardselfassessmentprocessbechangedinanyway?

Ingeneral,aneffectiveboardselfassessmentprocesshasthefollowingcharacteristics:

Ithastheenthusiasticsupportboardleadership.
Theassessmentisbasedonasetofstandardsorbestpracticesthatcharacterizeeffectiveboard
performance.
Theassessmentisaformalprocessinthatitisconductedonaregular,agreeduponbasisanda
writtenassessmenttoolthatallboarddirectorscompleteisthecenterpieceoftheprocess.
Finally,thereisaplantousetheresultsoftheassessmenttosetgoalsforboardimprovement
andtheplanisimplemented.

Onthequestionofhowoftenboardsshouldengageinselfassessment,LarrySlesinger,authorof
SelfassessmentforNonprofitGoverningBoards
,hasthefollowingobservationtoshare:

Boardselfassessmentistoocomprehensiveofaprocesstobecarriedouteveryyear.Everytwoor
threeyearsisusuallysufficientforastableboard.Performanceassessmentcanbeparticularlyusefuljust
beforetheboardengagesinstrategicplanningorpreparesforamajorcampaign,afteramajorcrisis,or
69
whenacertaincomplacencyhassettledintheboardandaninvigoratingimpulsewouldbewelcome.

Theworkofimplementingtheplansthatresultfromboardselfassessmenthoweverisongoing.

LeadershipSupportForTheContinuousImprovementEffort

Aneffectiveboardselfassessmentbeginswiththevisiblesupportoftheboardownleaders.Thisis,
afterall,theboardsassessmentprocess.Boarddirectorsneedtoberemindedofthepurposeandthe
importanceoftheassessmenttotheboard'scontinuingdevelopment.Eachboarddirectormustbe
urgedtogivethenecessarytimetocompletingtheselfassessmentquestionnaireandreturningittothe
boardpresidentinatimelymanner.Boardleadershipmustalsobecommittedtotakingthenecessary
stepstoincorporatetheresultsoftheassessmentintoanimprovementplanandtomakesurethisplanis
implementedandmonitored.

IndicatorsofBoardEffectiveness

Slesinger,Larry,
SelfAssessmentforNonprofitGoverningBoards
.NationalCenterforNonprofitBoards,1999.

69

332


Asmentionedearlier,agoodassessmentprocessisbasedonasetofstandardsorbestpracticesthat
characterizeeffectiveboardperformance.Thereareseveralexamplesofboardgovernancestandards
thatcanbeusedasthefoundationforthecharterschoolboardsprogramofselfassessment.Twosuch
examplesareincludedintheToolSectionofthischapter.

Thefirstis"Governance:BestPractices"developedbytheMinnesotaCouncilforNonprofits.
TheMinnesotacouncilisastatewideassociationofnonprofitorganizationsandhasdeveloped
anexcellentresourcethatcanbeusedbytheboardsofcharterschoolstoplantheir
selfassessment.

Thesecondsetofstandardsis"PrinciplesofGoodPracticeforMemberSchools"developed
bytheNationalAssociationofIndependentSchools(NAIS).Thisdocumentincludesstandards
ofperformanceoftheboardasawholeaswellasstandardsofperformanceforindividual
boarddirectors.Again,thisisanexcellentresourcefordevelopingaboardselfassessment
tool.

AssessmentToolsWithGoalSettingAndFollowThrough

Thecharterschoolboardcandevelopitsownwrittenselfassessmenttoolcanusestandardsdocument
suchastheonesrefertoabove.Anotherapproachistouseofftheshelfboardassessment
instruments.Thereareanumbertochoosefromandtheyaredescribedhere.

BoardSelfassessmentQuestionnaire.
Thisassessmenttoolisincludedin
EffectiveSchool
70
Boards:StrategiesforImprovingBoardPerformance
,byEugeneR.Smoley. This
selfassessmentisalsoavailableonlineattheWebsiteoftheNationalSchoolBoards
Association(
www.nsba.org
).

SelfAssessmentForNonprofitGoverningBoards.
Thisassessmenttoolisavailablefrom
71
theNationalCenterforNonprofitBoards(
www.ncnb.org
). Thefirstpartofthisassessment
examinesperformanceoftheboardasawholeandisbuiltaroundalistof11keyboard
responsibilities.Thesecondpartfocusesonindividualboarddirectorperformance.

CharterSchoolBoardOfDirectorsSelfAssessmentTemplate.
Thisassessmentis
availablefromtheCharterSchoolDevelopmentCenterandincludedinitspublication
Charter
72
SchoolGovernanceToolkit,1stEdition
(
www.cacharterschools.org
). Thisassessmentreflects
basicrulesandresponsibilitiesoftheboardaswellasanumberofexplicitreferencestoitems
likecompliancewithstateandfederallaws,instructionandassessment,andtermsofthe
schoolschartercontract.
Smoley,EugeneR.,
EffectiveSchoolBoards:StrategiesforImprovingBoardPerformance
,JosseyBass,1999.
Slesinger,Larry,
SelfassessmentforNonprofitGoverningBoards
,NationalCenterforNonprofitBoards,Revised,
1999.
72

CharterSchoolGovernanceToolkit
,publishedbyCharterSchoolsDevelopmentCenter,1999.
70
71

333

BoardDevelopmentAssessmentTool.
ThisassessmentisavailablefromtheLearning
73
InstituteforNonprofitOrganizations. ThisassessmenttoolisincludedintheToolsSectionof
thischapter.TheinstrumentispartofthelearnerpacketfortheInstitutesawardwinningvideo
conferencetrainingprogramonboarddevelopment.Itincludessectionsoninternalprocedures,
importoperationalmattersandfinancialmanagementresponsibilities.Italsoincludesasample
workplanforimplementingtheresultsofaboardselfassessment.

VisionaryBoardLeadershipAssessment
.ThisassessmentwasdevelopedbytheCenter
forPublicSkillsTraining.ThisassessmenttoolisincludedintheToolsSectionofthischapter.In
keepingwiththethemeofthecharterschoolboardasstrategicthinkersandplanners,this
Assessmentfocusesoncompetenciesandcharacteristicsthatdelineatetheprofileofan
effective,futurefocusedboardasdescribedinChapter5oftheGovernanceGuidebook.

UseofRetreats

Properlyplannedandfacilitated,retreatscanbeavaluabletoolforboardimprovement.Awayfromthe
morefocused,detailedagendaofaregularboardmeeting,aretreatsessioncreatesopportunitiesfor
deeperdialogue,teambuildingandforgingcommitmentstoconcreteplansthattranslatetheresultsof
theboardsselfassessmentintoimprovedboardperformanceinthefuture.Whileretreatscanserve
variousspecificpurposes,theytypicallyproducesomecombinationofthefollowing:

Strengthenpoorperformancebyreviewinggovernanceproceduresandtheroleoftheboard
Assesstheboardscontributionstothecharterschoolandidentifyingwaystheboardcanadd
greatervalueinthefuture
Establishprioritiesfortheboardanddevelopanactionplantoachieveresultsbasedonthose
priorities
Increasethesenseofteamspiritandstrengthenworkingrelationshipsamongboarddirectors
andinbetweenboardandstaff
74
Determinethenextstepsinboardimprovement.

AccordingtoPeterC.Brinckerhoff,theeffectivenessofboardretreatswillgreatlyincreaseiftheretreat
plannersincorporatethefollowing:

Identifyoutcomesfortheretreat.Besurethereisconsensusamongboarddirectorsabout
whattheseoutcomesshouldbe.Aretreatoutcomecanincludeaplanforidentifyingkey
findingsfromtheboardassessmentanddevelopingaplanforcorrectiveactionorresolving

Lewis,Andrew,
BoardDevelopmentAssessmentTool,
TheLearningInstituteforNonprofitOrganizations,1999.
Chait,RichardP.,Holland,ThomasP.andTaylor,BarbaraE.,
ImprovingthePerformanceofGoverningBoards
,
OryxPress,1996.
73
74

334


amajorcriticalissuethatsurfacedduringtheboardassessment.Thedesiredoutcomes
shoulddrivethedevelopmentoftheretreatagenda.

Consideruseofanoutsidefacilitator.Thecharterschoolboardchairortheadministrator
oftheschoolmaybeagiftedandexperiencedfacilitator,buttitlescangetinthewayof
effectiveinteraction.Moreimportantly,itisdifficult,ifnotimpossible,toplaytheroleof
facilitatorandretreatparticipantatthesametime.Oneoftheseroleswillsuffer.
Breakuptheworksessions.Structuretheretreatagendasothatparticipantsspendsome
timeinsmallworkinggroupsaswellasfullgrouppresentationsanddiscussions.Andthough
theboardistheretothinkandwork,don'twearpeopleout.Givepeoplebreaks,andyou
willgetmoreoutofthem.
Documentthevariousdiscussions.Askthefacilitatortowritethekeypointsonaflipchart
whileascribetakesdownallthedetails.Developanddistributeareporttoallretreat
participants.

Sticktotheissuesathand.Ifyou'rehavingaretreattodiscussspecificfindingsofthe
selfassessment,setaruleatthebeginningoftheretreatthatyouwillnotallowdiscussionof
currenteventsunlesstheyhaveaconnectiontotheissuesathand.

Encourageeveryonetoparticipate.Theworstthingthatcanhappenataretreatisfor
someonetosaynothing.Workwithyourfacilitatortomakesurethateveryoneispolitely
75
butfirmlyforcedtoaddsomethingtothediscussion.

Brinckerhoff,PeterC.,writingin
AssociationManagement
,AmericanSocietyofAssociationExecutives.

75

335

AdditionalToolsforBoardAssessmentandImprovement

IntheToolsSectionofthischapter,therearetwoadditionaltoolsthatwillhelpyourcharterschool
boardembarkuponthisjourneyofcontinuousimprovement:

Thefirst,adaptedfromworkbytheBoysandGirlsClubsofAmerica,isamatrixthatdescribes
boardimprovementovertimeinsevencriticalperformanceareas:boardcomposition,board
developmentprocess,boardmeetingattendance,committeestructurewithobjectives,board
diversity,boardparticipationinschoolevents,andboardgiving.Boardimprovementineachof
theseareasisdescribedasitinvolvesthroughfourstages:developing,operational,advancing,
andexcelling.

Thesecondtoolisasamplelistingofrecommendationsforboardimprovementthatmightresult
fromaselfassessmentprocessortheboardplanningsessionheldaspartofthecharterschool
developmentprocess.Therearereferencestochaptersandspecificpagesinthegovernance
guidebook.Whileitisofferedasasample,manycharterschoolsmightconsiderthisasa
startingpointfordesigningaboarddevelopmentplan.

336

Chapter12:ToolsYouCanUse
SamplesOfFoundationDocuments
BestPractices:Governance(Source:MinnesotaCouncilforNonprofits)
PrinciplesofGoodPracticeforMemberSchools(Source:NationalAssociationofIndependent
Schools)
BoardGovernanceIndicatorsAssessment(Source:UnitedWayofMinneapolisArea)
BoardDevelopmentAssessmentTool(Source:TheLearningInstituteforNonprofit
Organizations).
VisionaryBoardLeadershipAssessment(Source:TheCenterforPublicSkillsTraining)
ExitInterviewwithDepartingBoarddirectors(Source:AspenPublishers)
AFrameworkforContinuousImprovementofCharterSchoolBoardEffectiveness(Source:
AdaptedfromBoysandGirlsClubsofAmerica)
SampleRecommendationsforBoardImprovement(Source:TheCenterforPublicSkills
Training)

EssentialResourcesforBoardSelfAssessment

BoardTuneups
.TheIndependentSchoolsAssociationoftheCentralStates(ISACS)has
preparedacollectionof13assessmenttoolsfortheperiodictuneupofyourcharterschool
board.Topicsinclude:BoardBylaws,Committees,BoardEvaluation,Policies,Board
Recruitment,BoardStructure/MeetingPattern,ContractforAdministrator,Endowment
Policies,EnrollmentContract,EnrollmentPolicies,FacultyContracts,AdministratorEvaluation,
andLongrangePlanning.Theapproachsuggestedistocomparethe"bestpractices"ISACS
versiontoyourschoolboardsversionofpoliciesandpractices.Allofthedocumentscitedare
availableforfreebydownloadingfromtheISACSwebsite:Goto
www.isacs.org
thenclickon
Monographs
,scrolldownto
BoardofTrustees
,andchoosetheappropriatemonographtitle.
Alternatively,schoolboardchairscanorderfromISACSthetuneuppackageofallthe
monographsforachargeof$25.00,payabletoISACS.
CharterSchoolGovernanceToolkit
,FirstEdition,CharterSchoolsDevelopmentCenter,1999.
Section4includesaCharterSchoolBoardofDirectorsSelfAssessmentTemplate.
(
www.cacharterschools.org
)
Hughes,Sandra,
ToGoForward,Retreat
,NationalCenterforNonprofitBoards,1999.
Includesmanypracticalsuggestionsandideasforplanningandconductingsuccessfulboard
retreats.
Slesinger,LarryH.,
SelfassessmentforNonprofitGoverningBoards
,NationalCenterfor
NonprofitBoards,1996.
Smoley,EugeneR.,
EffectiveSchoolBoards:StrategiesforImprovingBoardPerformance
,
JosseyBass,1999.
Szanton,Peter,
BoardAssessmentoftheOrganization
,NationalCenterforNonprofitBoards,
1992.
TheBoardSelfassessmentQuestionnaire.ThisonlineselfassessmenttoolisavailableonWeb
siteoftheNationalSchoolBoardsAssociationat
www.nsba.org/smoley/quiz.cfm
.Thetoolwas
337


designedbyEugeneSmoley,authorof
EffectiveSchoolBoards:StrategiesforImprovingBoard
Performance
.
TheManagementCenterOnlineAssessmentTool
http://www.tmcenter.org/toolintro.html

338

BESTPRACTICES:GOVERNANCE
[Source:MinnesotaCouncilforNonprofits(MCN)]

Electedorappointed,volunteerboardsofdirectorswhoarecommittedtotheorganization'smission
andleadershipgovernnonprofits.Anonprofitboarddeterminesthemission,strategicdirection,and
futureprogrammingoftheorganization.Anonprofitboardensuresandnurturesadequatehumanand
financialresourcesandactivelymonitorsandevaluatestheorganization'sexecutivedirector/CEO,as
wellasserviceandfinancialresults.Nonprofitboardmembersapproveandsystematicallyimplement
policiestoensureachievementofthemissionoftheorganizationandtopreventperceived,potential,or
actualconflictofinterest.

A. BoardResponsibilities

1. Theboardshouldengageinongoingplanningactivitiesasnecessarytodeterminethemissionof
theorganizationanditsstrategicdirection,todefinespecificgoalsandobjectivesrelatedtothe
mission,andtoevaluatethesuccessoftheorganization'sservicestowardachievingthemission.
2. Theboardshouldapprovethepoliciesfortheeffective,efficient,andcosteffectiveoperationof
theorganization.
3. Theboardshouldannuallyapprovetheorganization'sbudgetandassesstheorganization's
financialperformanceinrelationtothebudgetatleastfourtimesperyear.
4. Theboardisresponsibleforthefinancialhealthoftheorganizationandshouldactively
participateinthefundraisingprocessthroughmembers'financialsupportandactiveseekingof
thesupportofothers.Aspartoftheannualbudgetprocess,theboardshouldreviewthe
percentageoftheorganization'sresourcesspentonprogram,administration,andfundraising,
withagoalofatleast70%ofrevenueusedforprograms.
5. Theboardshouldhire,setthecompensationfor,andannuallyevaluatetheperformanceofthe
executivedirector/CEO.
6. Iftheorganizationemploysstaff,theboardshouldannuallyreviewitsoverallcompensation
structure,usingindustrybasedsurveysofsalariesandbenefits.Theboardshouldensurethata
livablehourlycompensationispaidtoallemployees,whetherfullorparttime.Theboard
shouldensurethatsufficientfundsareallocatedtocontributetofulltime,permanentemployees'
medicalinsuranceandretirementplans.Theboardshouldestablishpolicies,whenappropriate,
onemployeebenefits,vacation,andsickleave.
7. Theboardshouldapprovewrittenpoliciesandproceduresgoverningtheworkandactionsof
itsemployeesandvolunteers.Thesepoliciesandproceduresshouldaddressthefollowing:
workingconditionsevaluationandgrievanceproceduresconfidentialityofemployee,volunteer,
client,andorganizationrecordsandinformationandemployeeandvolunteergrowthand
development.
8. Theboardshouldensurethataninternalreviewoftheorganization'scompliancewithknown
existinglegal,regulatory,andfinancialreportingrequirementsisconductedannuallyandthata
summaryoftheresultsofthereviewisprovidedtotheentireboard.
9. Theboardshouldperiodicallyassesstheneedforinsurancecoverageinlightofthenatureand
extentoftheorganization'sactivitiesanditsfinancialcapacity.Adecisiontoforegogeneral
339


liabilityinsurancecoverageorDirectorsandOfficersliabilityinsurancecoverageshouldbe
madeonlybytheboardofdirectors.

B. BoardComposition

1. Theboardmembersshouldbepersonallycommittedtothemissionoftheorganization,willingto
volunteersufficienttimeandresourcestohelpachievethemissionoftheorganization,and
understandandfulfilltheirfiduciaryresponsibilities.
2. Nomorethanoneemployeeoftheorganizationshouldserveasavotingmemberoftheboardof
directorsandstaffshouldnotserveaschairortreasureroftheBoard.
3. Toallowforsignificantdeliberationanddiversity,themajorityoftheboardshouldbemadeupofat
leastsevenpersonsunrelatedtoeachotherorstaff.
4. Theorganization'sbylawsshoulddeterminetermlimitsthatestablishindividualtermsofnomore
thanthreeyears,allowindividualstoservenomorethanthreeconsecutiveterms,andrequireat
leastoneyearinterveningbeforeeligibilityforreelectionafterservingthemaximumnumberof
consecutiveterms.
5. Boardmembershipshouldreflectthediversityoftheorganization'sconstituencies.
6. Boardmembers(whoarenotemployees)shouldnotreceivecompensationfortheirboardservice,
otherthanreimbursementforexpensesdirectlyrelatedtoboardduties.
7. Theboardnominationprocessshouldbeannouncedtotheorganization'spublic,sothatinterested
personsorcommunitymemberscannominatethemselvesorothers.

C. ConductoftheBoard

1. Theboardshouldberesponsibleforitsownoperations,includingtheeducation,training,and
developmentofboardmembersannualevaluationofitsownperformanceand,whenappropriate,
theselectionofnewboardmembers.Thereshouldbewrittenjobdescriptionsforboardmembers,
officers,committees,andcommitteemembers.
2. Theboardshouldhavewrittenexpectationsforboardmembers,includingexpectationsforfull
boardparticipationinfundraisingactivities,committeeservice,andserviceactivities.
3. Theboardshouldmeetasfrequentlyasneededtoadequatelyconductthebusinessofthe
organization.Ataminimum,theboardshouldmeetfourtimesayearwithaquorumpresent.
4. Theboardshouldhavewrittenpoliciesthataddressattendanceandparticipationofboardmembers
atboardmeetingsincludingaprocesstoaddressnoncompliance.
5. Writtenmeetingminutesshouldreflecttheactionsoftheboard,includingreportsofauthorized
boardcommittees.Theboardshouldpermanentlyretaintheminutes,distributethemtoboardand
committeemembers,andmakethemavailableforpublicreview.

D. ConflictofInterest

1. Theboardshouldestablishconflictofinterestpoliciesregardingboard,staff,volunteers,
contractors,andorganizationalpartnersoralliesandadheretothesepoliciesinalldealings.The
policiesshouldincludeanobligationofeachboardmembertodiscloseallmaterialfactsand
relationshipsandrefrainfromvotingonanymatterwhenthereisaconflictofinterest.
340

341

NationalAssociationOfIndependentSchools(NAIS)
PrinciplesofGoodPracticeforMemberSchools,1999

BoardOfTruste e s

1. Theboardpreparesaclearstatementoftheschool'smissionandobjectives.
2. Theboardreviewsandmaintainsbylaws,andestablishespoliciesandplansconsistentwiththe
mission.
3. Theboardisaccountableforthefinancialwellbeingoftheschool,includingcapitalassets,
operatingbudgets,fundraising,andendowments.
4. Theboardselects,supports,andnurturesthehead.
5. Theboard,orcommitteeoftheboard,conductsawrittenannualevaluationoftheperformanceof
theheadandworkswiththeheadtoestablishgoalsforthefollowingyear.
6. Theboardevaluatesitselfannuallyandestablishesgoalsforthefollowingyear.
7. Theboardkeepsfullandaccuraterecordsofitsmeetings,committees,andpolicies.
8. Theboardworkstoensureallitsmembersareactivelyinvolvedintheworkoftheboardandits
committees.
9. Thecompositionoftheboardreflectsabalanceofexpertiseandperspectivesneededtoachieve
themissionoftheschool.
10. Theboarddevelopsitselfthroughnewtrusteeorientation,ongoingeducation,andleadership
successionplanning.
11. Theboardassurescompliancewithapplicablelawsandregulationsandminimizesexposureto
legalaction.

SchoolBoardMembersasIndividuals

Thefollowingprinciplesofgoodpracticearesetforthtoprovideacommonperspectiveonthe
responsibilitiesofindividualmembersofindependentschoolboards.

1. Atrusteeactivelysupportsandpromotestheschool'smission.
2. Atrusteeisknowledgeableabouttheschool'smissionandgoalsaswellascurrentoperationsand
issues.
3. Atrusteeattendsmeetingswellpreparedandparticipatesfullyinallmatters.
4. Theboardsetspolicytheadministrationimplementspolicy.Anindividualtrusteedoesnotbecome
involvedinspecificmanagement,personnel,orcurricularissues.
5. Atrusteeacceptsandsupportsboarddecisionsandrespectsboardconfidentiality.
6. Atrusteeguardsagainstconflictofinterest,whetherbusinessrelatedorpersonal.Thetrustee
takescaretoseparatetheinterestsoftheschoolfromthespecificneedsofaparticularchildor
constituency.
7. Atrusteehastheresponsibilitytosupporttheschoolanditsheadandtodemonstratethatsupport
withinthecommunity.
8. Authorityisvestedintheboardasawhole.Atrusteewholearnsofanissuehastheobligationsto
bringittotheheadofschool,ortotheboardchair,andmustnotdealwiththesituation
individually.

342


9. Atrusteecontributestothedevelopmentprogramoftheschool,includingfinancialsupportand
activeinvolvementinannualandcapitalgiving.
10. Eachtrustee,aswellasthetreasurerandfinancecommittee,hasfiduciaryresponsibilitytothe
schoolforsoundfinancialmanagement.

BoardGovernanceIndicatorsAssessment

Usethisformtoassessyourboardofdirectors.Usetheratingsinthelastthree
columnstodevelopaplanforboardimprovement

Rating
E

R
E
E
A
A
E

Indicator

Met

1.TherolesoftheBoardandtheAdministratoraredefinedand
respected,withtheAdministratordelegatedasthemanagerof
thecharterschool'soperationsandtheboardfocusedonpolicy
andplanning
2.TheAdministratorisrecruited,selected,andemployedbythe
boardofdirectors.Theboardprovideclearlywritten

expectationsandqualificationsfortheposition,aswellas
reasonablecompensation.
3.Theboardofdirectorsactsasagoverningtrusteesofthe
charterschoolonbehalfofthecommunityatlargeand
contributorswhilecarryingoutthecharterschool'smissionand
goals.Tofullymeetthisgoal,theboardofdirectorsmustactively
participateintheplanningprocessasoutlinedinplanningsections
ofthischecklist.
4.Theboard'snominatingprocessensuresthattheboard
remainsappropriatelydiversewithrespecttogender,ethnicity,
culture,economicstatus,disabilities,andskillsand/orexpertise.
5.Theboarddirectorsreceiveregulartrainingandinformation

abouttheirresponsibilities.
6.Newboarddirectorsareorientedtothecharterschool,
includingthecharterschool'smission,bylaws,policies,and

programs,aswellastheirrolesandresponsibilitiesasboard
directors.
7.Boardorganizationisdocumentedwithadescriptionofthe

boardandboardcommitteeresponsibilities.
8.Eachboardhasaboardoperationsmanual.

9.Ifthecharterschoolhasanyrelatedpartytransactions
betweenboarddirectorsortheirfamily,theyaredisclosedtothe
boardofdirectors,theInternalRevenueServiceandtheauditor.

Needs
N/A
Work

343


10.Thecharterschoolhasatleasttheminimumnumberof

E membersontheboardofdirectorsasrequiredbytheirbylawsor
statestatute.

Rating

Indicator
11.Ifthecharterschoolhasadoptedbylaws,theyconformto

R statestatuteandhavebeenreviewedbylegalcounsel.

Met

Needs
N/A
Work

12.Thebylawsshouldinclude:a)howandwhennoticesfor
boardmeetingsaremadeb)howmembersare
elected/appointedbytheboardc)whatthetermsofofficeare
R forofficers/membersd)howboarddirectorsarerotatede)how
ineffectiveboarddirectorsareremovedfromtheboardf)a
statednumberofboarddirectorstomakeupaquorumwhichis
requiredforallpolicydecisions.
R 13.Theboardofdirectorsreviewsthebylaws.

14.Theboardhasaprocessforhandlingurgentmattersbetween
A meetings.

15.Boarddirectorsservewithoutpaymentunlesstheagencyhas
E apolicyidentifyingreimbursableoutofpocketexpenses.

16.Thecharterschoolmaintainsaconflictofinterestpolicyand
R allboarddirectorsandexecutivestaffreviewand/orsignto

acknowledgeandcomplywiththepolicy.
17.Theboardhasanannualcalendarofmeetings.Theboard
alsohasanattendancepolicysuchthataquorumofthecharter
R school'sboardmeetsatleastquarterly.(Organizationsarenot
requiredbylawtoopentheirmeetingstothepublic.)
18.Meetingshavewrittenagendasandmaterialsrelatingto
A significantdecisionsaregiventotheboardinadvanceofthe

meeting.
19.Theboardhasawrittenpolicyprohibitingemployeesand
A membersofemployees'immediatefamiliesfromservingasboard
chairortreasurer.

Indicatorsratings:E=essentialR=recommendedA=additionaltostrengthen
organizationalactivities

Copyright1998

UnitedWayofMinneapolisArea
TheManagementAssistanceProgramforNonprofits
2233UniversityAvenueWest,Suite360
St.Paul,Minnesota55114
(612)6471216

344


andCarterMcNamara,PhD

345

NonprofitOrganizationalAssessmentTool

By:AndrewLewis*
UniversityofWisconsinExtension
VicePresident,ProgramDevelopment
TheLearningInstituteforNonprofitOrganizations

Thissectionofthe
NonprofitOrganizationalAssessmentTool
canhelpguideagroupdiscussion
aboutanorganizationsboardgovernance.Thisgroupdiscussionideallyshouldincludeboarddirectors,
staff,volunteers,andservicerecipients,butcouldbeusedasaselfassessmenttoolbyanyone
associatedwithanonprofitorganization.

Reviewtheassessmentformonpages28.First,checktheindicatorsthathavebeen
completedoraccomplished.Next,indicatetheamountofimprovementthatyouthinkis
neededforthatindicator(NoneorNotApplicable,Some,ormuchimprovementneeded).
Therearenorightorwronganswers.

Itisyourperceptionoftheorganization.Ifusedwithagroup,
eachindividualshouldcompletetheassessmenttool.Afterallowingadequatetime,compareresponses
anddiscussanyareaswherethereweredifferentperceptions.Asafinalstep,identifythetop23
prioritieswheretherewasahighlevelofconsensusonanindicatorneeding"much"improvement.Ifyou
aredoingthisasagroup,haveeachindividualselecttheirtopthreeprioritiesandthentallythe"votes"
forthegrouptoidentifythetopthree.Begindevelopinganactionplanthatwouldaddresstheseissues.
Aftersuccessfullyimplementingyouractionplansthataddressyourtoppriorities,revisityour
assessmenttoolandbegindevelopingactionplansfortheotherindicatorsthatneedattention.

Thisparticularsectionoftheassessmenttoolfocusesontheboardgovernanceprocessandconcepts
presentedduringtheeducationalprogramsproducedbytheLearningInstituteforNonprofit
Organizations.Thecomplete
NonprofitOrganizationalAssessmentTool
includeseightsections
basedonthecontentpresentedintheeightprogramsthatmakeupthecurriculumoftheExcellencein
NonprofitLeadershipandManagementeducationalseries.

*LearningInstitutefacultycontributorforthissection:CarolE.Weisman,BoardBuilders
Inc.,St.Louis,Missouri

346

BoardGovernanceAssessmentTool**

InternalProcedures
Indicator

1. Theorganizationhasaclearsense
ofwhotheyareandhasspenttime
thinkingaboutthekindsofpeople
theywantontheirboard.
2. Theorganizationhascompleteda
formalreviewofitscurrentboard
profileandhasidentifieddeficiencies
(i.e.byusinganinstrumentsuchas
theboardprofileworksheet).
3. Theorganizationhasidentified
individualsthathavethe
characteristicsthatarelackingon
theboardandhavedevelopeda
recruitmentstrategy.
4. Theorganizationhasanominating
committeeinplace.
5. Havetherebeenanymajorchanges
inthemissionoftheorganization
thatmightrequireachangeinthe
makeupoftheboard?
6. Theorganizationandgoverning
boardhavespenttimetalkingabout
theadvantagesofhavingadiverse
board.
7. Theorganizationcooperateswith
othernonprofitsinthecommunityin
thedevelopmentandmaintenanceof
aboardbank.
8. Potentialboarddirectorsare
recruitedfromwithinthe
organization(volunteers,past
employees,membersetc.)aswell
asoutsidetheorganization.

Done? NeedsImprovement?
None/N.A. Some Much

347


InternalProcedures(Continued)
Indicator

Done? NeedsImprovement?
None/N.A. Some Much

9. Theboardchairandstaff(ifany)
havedeveloped"tools"thatkeep
boardmeetingsinteresting,funand
productive.Meetingsareevaluated
forproductivityatleastoccasionally.
10. Boarddirectorsservewithout

paymentunlesstheagencyhasa
policyidentifyingreimbursable
outofpocketexpenses.
11. Boarddirectorsareaccessibleto

stakeholdersandtostaff(volunteer
andpaid).
12. TheBoardplaysanactiverolein

developingandreviewingastrategic
planfortheorganization.

OperationalProcedures
Indicator

Done? NeedsImprovement?
None/N.A. Some Much

1. Therolesoftheboardareclearly
statedandcommunicated.Board
directorscommittothose
responsibilitiesbysigningaboard
commitmentletter.
2. Boardmeetingsarewellattended.
3. Whenaboarddirectormissesa

boardmeetingwithoutannouncing
areason,anotherboarddirectoror
thedirectoroftheorganizationcalls
them.
4. Potentialboarddirectorsare

interviewedbeforetheyareasked
toserve.

348


OperationalProcedures(Continued)
Indicator
Done?

5. Theboarddirectorsreceive

orientation,regulartraining,and
informationabouttheir
responsibilities.Orientation
includesinformationonthe
organizationsmission,bylaws,
policies,practices,programs,as
wellastheirgovernancerolesand
responsibilitiesasboarddirectors.
6. Theboardhasanominating

processthatensuresthattheboard
remainsappropriatelydiversewith
respecttoethnicity,gender,
economicstatus,culture,
disabilities,age,skillsand/or
expertise.
7. EachBoardhasaboard

operationsmanualthatsummarizes
responsibilities(includingjob
descriptionsforofficers)and
operationprocedures.Thismanual
includesacopyofthe
organization'sbylaws.
8. Thenumberofcurrentboard

directorsisconsistentwithwhatis
requiredinthebylawsorstate
statutes.
9. Theboardreviewsthebylawson

atleastanannualbasis.Bylaws
shouldclearlystatethe
organization'spurpose,service
area,definedmembers,defined
boardofdirectors,specificmeeting
guidelines,definedofficers,defined
committees,guidelinesfor
amendingbylaws,guidelinesfor
dissolutionoftheorganization,
guidelinesforfinancialandlegal
procedures.

NeedsImprovement?
None/N.A. Some Much

349


OperationalProcedures(Continued)
Indicator
Done?

10. Theboardhasdevelopedan

annualmeetingcalendarwithtasks
thatroutinelyneedtobedoneat
specificboardmeetingsi.e.
reviewbylawsinNovember,
PrepareforAuditinAugust,
NominationCommitteeprepares
slateofnominationsinJulyetc.
11. Theboardhasapolicyand

procedureforhandlingurgent
mattersbetweenregularly
scheduledmeetings.
12. Theorganizationmaintainsa

conflictofinterestpolicyandall
boarddirectorsandstaffreview
andsigntoacknowledgeand
complywiththepolicy(Couldbe
partoftheBoardCommitment
letter).
13. Theboardhasawrittenpolicy

prohibitingemployeesand
membersoftheirimmediate
familiesfromservingasboardchair
ortreasurer.
14. AllBoardmeetingshavewritten

agendasandmaterialsthatare
giventotheboardinadvanceof
themeetings.Board
reports/minutesarerecordedand
actiontakenontheminutesofall
meetings.

NeedsImprovement?
None/N.A. Some Much

350


FiscalManagement
Indicator

1. Boarddirectorshavemadea
strongindividualfinancial
commitmenttotheorganization.
2. Theboardtakestheleadershiprole
infundraisingandfinancial
management.
3. Theboardoverseestheannual
auditandusesittostrengthenthe
organization'sfinancialpolicies.
4. Theboardisdoingagoodjobof
insuringthattheorganizationis
fulfillingitsregulatoryandfinancial
requirements.
5. Theboardpreparesabudget
(basedonarecommendationfrom
theexecutivedirectorifoneexists)
whichallocatesfundstothemajor
prioritiesidentifiedinthestrategic
planoftheorganization.
6. Afinancialplanhasbeen
developedtoensurefinancial
stabilityfor35yearsandis
consistentwiththeorganizations
strategicplan.
7. Theboardinvolvesindividuals
mostknowledgeableabout
programs/activitiesinpreparingthe
budget.
8. Theboardunderstandstheannual
budget.
9. Theboardreviewsmonthlyreports
ofexpendituresandrevenues.

Done?

NeedsImprovement?
None/N.A. Some Much

351


FiscalManagement(Continued)
Indicator

Done?

10. Theboardcomparesactual

revenuesandexpendituresto
budgetedrevenuesand
expendituresonamonthlybasis.
11. Adjustmentstothebudgetduring

theyeararemadebasedonactual
oranticipatedchanges.Theboard
approvesalladjustments/revisions
tothebudget.
12. Thecurrentbudgetinformationis

usedasabaseforfuturebudgeting.

NeedsImprovement?
None/N.A. Some Much

ActionPlans:
Use the following format to begin formulating an action plan that would improve your organizations
performancerelativetoaspecificindicatorlistedabove.
Indicator: The organization has completed a formal reviewofitscurrent boardprofileandhas
identifieddeficiencies(i.e.byusinganinstrumentsuchastheboardprofileworksheet).

Task TimeLine
Who
WillDoWhat
EvaluationMeasure
Task
Nextboard
Jill(chair)
Willaddreviewofthe
Agendaitemisadded
#1
meeting30days
boardprofiletothenext
totheagendaand
boardagenda.Copiesof mailedtoboard
CarolWeisman'sboard
directors.
profileworksheetwillbe Numberofboard
mailedtoboarddirectors directorsthat
withthenextmonth's
completedtheprofile
meetingagenda.Board
worksheetfor
directorsareaskedto
themselves.
completetheprofileand
Thesummaryprofileis
returnitpriortothenext completedandshared
meeting.
atthemeeting.
Task
Nextboard
Theentire
Reviewtheboardprofile Numberofboard
#2
meeting
boardof
asitwassummarized.
directorsparticipating
directorsand
intheprocess.
executive
director.
Task
Nextboard
Jill
Leadsadiscussion,which Consensusis
#3
meeting
beginstoidentify
developedon
importantskilldeficiencies deficiencies.
inthecurrentboard.Asks
352

Task
#4

60days

Jill

Task
#5

90days

Bob,
Nomination
Committee
Chair

theboardtocometothe
nextmeetingwithalistof
peoplethathavetheskills
identified.
Theboardreviewsalist
ofpotentialboard
candidatesthathavethe
skillsidentifiedinthelast
meeting.
Thenominationcommittee
takesthelistofnames
generatedbytheboard
andpreparesa
recruitmentstrategy.

Numberofpotential
candidates.

Personswiththeskills
identifiedbytheboard
aresuccessfully
recruitedtoserveon
theboard.

*
Partofan8partseriesofassessmenttoolsthataddresscriticalmanagementissueswithinnonprofit
organizations.ThistoolwasdevelopedbytheLearningInstituteforNonprofitOrganizationsandis
basedinpartontwoexistingtools:

CommunityOrganizationalAssessmentTool
,Bright,RobertD.,UniversityofWisconsin
Extension1995(AdaptedfromCitizensInvolvementTrainingProgram.,Universityof
Massachusetts,Amherst.
ChecklistofNonprofitIndicators,
UnitedWayofMinneapolisArea,1998.

Allmaterialcopyright1998TheSocietyForNonprofitOrganizations.

353

BuildingAVisionaryBoardofDirectors

VisionaryBoardLeadershipAssessment

Introduction
:

Oneofthemostreliablewaystheboardcanstrengthenitsperformanceasagoverningbodyisto
periodicallyassessitsownperformance.Inkeepingwiththethemeofthecharterschoolboardas
strategicthinkersandplanners,theAssessmentthatfollowsthispagefocusesoncompetenciesand
characteristicswhich,whentakentogether,delineatetheprofileofaneffectiveboardofthefutureas
describedinChapter5oftheGovernanceGuidebook.Theresultsoftheassessmentwillbeusedto
developactionplanstostrengthenthevisionaryleadershipcapacityofyourboard.

Basedonexperienceswithsuccessfulassessment,theNationalCenterforNonprofitBoardsoffersthe
followingsuggestionsforuseofatoolliketheVisionaryBoardLeadershipAssessment:

GiveallboarddirectorsandtheAdministratoranopportunitytodiscussthevalueofa
selfassessmentandtocommittotheprocess.Afterdiscussion,adoptaformalresolutionto
conducttheassessmentandutilizetheresultstostrengthentheboardsvisionaryleadership
capacity.

Afteradoptingtheresolution,designateagrouptooverseetheselfassessmentprocess.The
boardcandelegatethisresponsibilitytotheExecutiveCommittee.Ineithercase,theresponsible
groupshouldbefullycommittedtotheAssessmentprocess.

DistributetheAssessmenttoallboarddirectors.Specifythedateforreturnoftheassessment
forms.Compiletheresults.

Scheduleaspecialmeetingoftheboardoraretreatsessiontoreviewtheresultsofthe
Assessment.

Conductthereviewsession.Striveforconsensuson35areasforimprovementbasedonthe
assessmentresults.Identifyspecificplansofactiontoaddresstheareastargetedforattention.
Assignresponsibilityforimplementationandagreeonfollowupprocedurestheboardwilltaketo
assureaccountability.

354

VisionaryBoardLeadershipAssessment

INTRODUCTION:ThisBoardVisionaryLeadershipAssessmentcontainsalistof23statements
describingthecharacteristicsandcompetenciesofaneffectiveboardofthefuture.Ratethedegreeto
whichyourboardreflectseachstatementbycirclingtheappropriatenumberintheratingscaletothe
rightofthestatement."0"meansyourboardiscompletelylackinginthisquality"5"meansthatyour
boardstronglyreflectsthecharacteristicorcompetency.

1. Theboardisateamofinvolvedand
committedindividuals.Thereisclear
understandingoftheboard'sresponsibility
forleadingandguidingthecharterschool
intothefutureincontrasttoapassive
caretakermentality.

1. TherelationshipbetweentheAdministrator
andtheboardisoneofmutualtrustand
respect.Theboardfeelsfullyinformed.

2. Theboardfocusesongeneralpolicyand
longrangegoals.Itisintimatelyinvolvedin
anybasicchangesinmissionandvision.It
monitorsfinancesandreviewsand
approvestheannualbudgetandplans.

3. Theboarddelegatesthedaytoday
managementofthecharterschooltothe
Administrator.Thatindividualistheonly
staffmemberreportingdirectlytothe
board.

4. ThepositionoftheBoardPresidentis
consideredapostofresponsibilitytobe
occupiedbyanindividualfullydedicatedto
themissionofthecharterschooland
preparedtodevotetherequiredtimeand
attentiontothetaskwhileworkingclosely
withtheAdministrator.

5. Thereexistsaclearlyarticulatedmission
thatservesasthefocalpointof
commitmentforboardandstaffandasthe
guidepostbywhichthecharterschool

012345

012345


012345

012345

012345

012345

355


judgesitssuccessandevaluatestheneed
foradjustmentsincourseovertime.

012345
6. Theboardisactivelyandregularlyinvolved
inastrategicplanningprocessthathelpsit
considerhowthecharterschoolshould

meetnewopportunitiesandchallenges.

7. Theboardkeepsabreastofchangesinthe 012345
industry,field,orprofession.Theboard

discussestrendsandforcesthatdrive

currentandfuturechangesinthecharter

school'smarketplace.

8. Thereiswithintheboardaspiritof
012345
responsiblerisktaking.Members

understandthatevenaftercarefulanalysis,
thedecisiontoacttotrysomethingnew
comeswithsomerisk.

9. Theboardtakesintoaccountthecharter
012345
school'svision,longtermgoalsand

strategiesasitconsidersissues,makes

decisionsandcreatespolicy.

10. Thecharterschoolsvisionandstrategies
012345
arecontinuallyreviewedandupdated,

basedonchangesinthebusiness

environmentandcustomers'needs.

11. Theboardcanrapidlyrespondtochanging 012345


conditions.Thereisasenseofwherethe

actionofourtimesisandhowtoimpactit.

12. Theboardhasabiasinfavorofforward
012345
thinking.Theboardthruststhemajorityof

itsthinkingintothefuturewiththe

understandingthatstrategicleadership

demandsthelongtermviewpoint.

13. Theboardisabletoseparatelargeissues
012345
fromsmallones.Theboardhasacommon
waytodiscernthebigitemsthatshouldbe
thefocusofitsattention.

012345

356


14. Theboardprovidesnewboarddirectors
withathoroughorientationthatincludes
boarddirectorresponsibilities,programand
administrativeinformationsothatnew
membersareabletoperformattheoutset
oftheirtermofservice.

15. Theboardisconcernedwiththecharacter
anddiversityofitsmembership,itssizeand
itsselfrenewal.Itisresponsiveto
changingcircumstancesandreflectsthese
changesinwaysthatwillbesthelpthe
charterschoolachieveitsmission.Itis
awareofitsneedfor"newblood"notonly
asasourcefornewideas,butasameans
ofrenewingitselfandofinvolvingthe
optimalnumberofvolunteers.

16. Theboardhasalongtermplanfor
identifyingandtrainingpeopletobecome
futureboarddirectors.

17. Theboardiseffectiveinrelatingtoits
diverseconstituencieswithinthebroader
community.Theboardisinvolvedin
buildingandmaintainingrelationshipswith
government,business,andother
notforprofityouthandfamilyserving
agenciessothatthecharterschoolcan
leverageitsresourcesbothmonetaryand
humanforthebenefitofitscustomers.

18. Inapproachingproblemsandissues,the
boarddisplaysapropensitytothinkin
termsofsystems,rootcausesand
relationshipsamongpartsratherthan
surfaceeventsandpartsinisolation.

19. Innovationisencouragedinanenvironment
ofopen,uninhibitedcommunicationamong
boarddirectorsinwhichnewand
especiallyunconventionalideasreceivea
supportivehearing.

20. Theboardiscommittedtothepursuitof
servicequality.Insupportofthis
commitment,theboardrelieson

012345

012345

012345

012345

012345

012345

357


measurableoutcomesasthecenterpieceof
anaccountabilitysystemtoassessthe
positiveimpactofthecharterschool's
programsonchildrenandthebroader
community.

21. Theboardoperatesfromamarketing
orientation,viewingthecharterschool's
clientsandconstituentsascustomerswho
choosetoutilizethecharterschool's
programsandservicesandtheircontinued
patronageisneveragivenintoday's
competitivemarketplace.

22. Theboardmaintainseffective
communicationswithitsmembersthrough
avarietyofmeansphone,fax,mail,
online,andfacetofacecontact.

012345

012345

Sources
:ThefollowingresourceswereusedinthedevelopmentoftheBoardVisionary
LeadershipAssessment:

BoardsthatMakeaDifferencebyJohnCarverManagingforProfitintheNonprofitWorldby
PaulB.FirstenbergSelfAssessmentfortheNonprofitGoverningBoardsbyLarryH.
SlesingerLearningOrganizationPracticesProfilebyMichaelO'BrienProfilesinNonprofit
ExcellencebyINDEPENDENTSECTORandKatieBurnham,ExecutiveDirectorofthe
LearningInstituteforNonprofitOrganizations.

358

ExitInterviewQuestionsForBoardDirectors

Instructions:Attheendoftheirtermofboardservice,conductanexit
interviewwithboarddirectors.Theideasandfeedbackreceivedwillbea
valuableresourceforboardimprovementefforts.

Whydidyouoriginallyagreetoserveontheboard?

Wasyourunderstandingabouttherequirementsofservingconsistent
withyouractualboardexperience?

Whatsuggestionswouldyoumakeforimprovingthewaytheboard
operates?

Whatareyourfeelingsaboutleavingtheboard?

Whatdidyoulikebest(andleast)aboutservingontheboard?

Whatadvicewouldyouoffertoincomingboarddirectors?

Ifyoucoulddothejoboveragainwhatwouldyoudodifferently?
359

360

AFrameworkforContinuousImprovementofCharterSchoolBoardEffectiveness

Board
Effectivenes
sIndicator
Board
Composition

Developing

Operational

Advancing

Excelling

T heboardhasfew,if
any,activecommunity
leaderswhocan
influencecommunity
decisionsandfinances.
T hereislittleboard
involvementthat
fulfillsthecharter
schoolsneeds.

T heboardhassome
recognizedcommunity
leaderswhoinfluence
communitydecisions
andfinances.T hereisa
moderatelevelofboard
involvementinthe
charterschool.Board
directorssometimesuse
contactstheyhaveto
benefitthecharter
school.
T hereisaformal
processforidentifying
andrecruitingboard
directorsnotnecessarily
basedonthespecific
goalsandobjectivesand
needsofthecharter
schoolboard.

T heboardconsists
mainlyofcommunity
leaderswhoinfluence
decisionsandfinances
andwhoareinvolved
inmeetingmostofthe
charterschoolsneeds.

T heboardconsistsof
communityleaderswho
influencedecisionsand
financesandwhoareactively
involvedinmeetingthe
charterschoolsneeds.T hey
donothesitatetousethe
contactstheyhavetobenefit
thecharterschool.

T hecharterschool
boardhasandutilizesa
formalprocessforthe
identification,
recruitment,selection,
andorientationof
boarddirectorsbased
onitsgoals,objectives
andneeds.
T heboardisregular
meetingswithnotless
than70percent
attendanceandwith
theclearfocuson
policyissuesand
decisions.

T hecharterschoolutilizesa
formal,ongoingboard
developmentprocess,which
includesadedication,
recruitment,selection,
orientation,ongoing
evaluationandperformance
recording,andrecognitionof
boarddirectors.
T heboardhasregular,duly
constitutedmeetingswith
notlessthan80percent
attendance,active
participationandaclear
focusonpolicyissuesand
decisions

T heboardhas
organized,functioning
committeeswhich
makeinformed
recommendationsfor
boardaction.
Attendanceisbetter
than50percent.

T heboardhasorganized,
functioningcommitteeswith
definedobjectivesconsistent
withthecharterschools
goals,objectivesandneeds
andwhichmakesinformed
recommendationsforboard
action.

T heboardhassome
diversityintermsof
gender,ethnic/racial
makeupandother
criticalfactors,anda
formalplanis
underwaytoexpand
thisdiversity.

T hereisboard
representation/
participationinmost
charterschoolevents.

T heboardisdiverseinterms
ofgender,ethnic/racial
makeupandothercritical
factors,andhasacontinuing
actionplantomaintainit.

Board
Developmen
tProcess

Boarddirectorsare
randomlyrecruited.

Board
Meeting
Attendance

Charterschoolboard
meetingsarenotheld
onaregularbasis
attendanceislessthan
50percenttheagenda
isdominatedby
problemsandcrises,
preventingtheboard
fromdealingwith
substantivepolicy
issues.
T heboardhasno
functioning
committees.

Committee
Structure
With
Objectives

Board
Diversity.

T heboardisnot
diverseintermsof
gender,ethnic/racial
makeup,andother
criticalfactors.

Board
Participation
InSchool
Events

T hereislittleorno
participationbyboard
directorsincharter
schoolevents.

T hereareregularboard
meetingsattendedby
notlessthan50percent
ofthemembersstrong
dominationbyoneor
twomembersagenda
mostlyconsistsof
reportsfewsubstantive
decisionsaremade.

T hereareappointed
committeesthat
occasionallymeetto
considersomematters
pertinenttotheir
responsibilities.
Attendancebymostof
thecommitteeatsuch
meetingsisgenerally
poor.
T heboardhassome
diversityintermsof
gender,ethnic/racial
makeupandother
criticalfactors,andhas
aninformalplanto
expandthisdiversity.

T hereisboard
participationinsome
charterschoolevents.

T hereisboard
representation/participation
inallcharterschoolevents

361


Board
Giving

Fewerthan50percent
ofcharterschoolboard
directorscontribute
personallyandutilize
theircontactstohelp
meetthecharter
schoolsfinancialgoals.

Notlessthan50
percentofcharter
schoolboarddirectors
contributepersonally
andutilizetheir
contactstohelpmeet
thecharterschools
financialgoals.

Notlessthan75
percentofcharter
schoolboarddirectors
contributepersonally
andutilizetheir
contactstohelpmeet
thecharterschools
financialgoals.

Notlessthan90percentof
charterschoolboard
directorscontribute
personallyandutilizetheir
contactstomeetthecharter
schoolsfinancialgoals.

AdaptedfromStagesofOrganizationalEffectivenessBoardOfDirectors,BoysandGirlsClubsof
America

362

SampleBoardImprovementPlan:
RecommendationsforAction

Thefollowinglistofrecommendationsreflectssomeofthekeyboardbuildingtoolsandtechniques
describedinthe
CreatinganEffectiveCharterSchoolGoverningBoardGuidebook
.
Foreachrecommendation,thereisapagereferencetothetool(s)mentionedintherecommendation.

1. Recommendation:
Establishwellwrittenjobdescriptionsforboarddirectors,committee
chairsandmembers,andstaffthatoutlineroles,responsibilitiesandauthorityofeach.Alisting
ofmajorboardresponsibilitiesison
Page1617.
Samplejobdescriptionsforboarddirectors,
committeechairsandmembers,andstaffareon
Pages5760and276
respectively.

Achart
showingcomplementaryrolesandresponsibilitiesoftheboardandcharterschooladministrator
ison
pages1923.

2. Recommendation:
Establishaboarddevelopmentcommittee.Asamplejobdescriptionfora
boarddevelopmentcommitteeison
Page274
.

3. Recommendation:
Committeesoftheboardwillsubmitanannualreporttotheboardof
directorsutilizingtheformaton
Page279.

4. RecommendationsintheareasofBoardandCommitteeRecruitment,Selectionand
Development:
Define/outlineboardandcommitteerecruitmentanddevelopmentprocess.Developa
formalizedplanforcommitteeandboardselection.
Identifyconstituenciesforboard:city,County,stategovernmentalentities,otherdiverse
categories.
Proactivelymaintaindiversity/representationofboard.
Regularlyexamineboardandcommitteemembershiptomakesureitisreflectiveofthe
charterschoolcommunity.

Aprocessforboardandcommitteerecruitmentandsupportingformsthataddressesthese
recommendationsison
Pages3464.

5. Recommendation:
Createaboardmanual(thiscouldbeaWebsitealso)thatwillinclude
bylaws,missionandvision,boardstructure,membership,andbios,committeestructure,
membershipandbios,annualprogram,quarterlyreviews,meetingminutes.Asampletableof
contentsfortheboardofdirectorsManualison
Pages75
.

6. Recommendation:
Formalizethedecisionmakingprocessbetweencommitteesandtheboard
ofdirectors.UtilizetheBoardandCommitteeDecisionFlowCharton
Page95
andthe
ExecutiveCommitteePlanningFormon
Page96
.

7. Recommendation:
ConductanIndividualBoarddirectorSelfEvaluationonanannualbasis.
Acopyoftheformison
Page260.
363

8. Recommendation:
ConductanExitInterviewwithdepartingBoarddirectors.Acopyofthe
ExitInterviewison
Page325.

9. Recommendation:
Developaleadershipsuccessionplanfortheboardofdirectors.Aprocess
forboardandcommitteeleadershipsuccessionfollowson
Pages2612.

10. Recommendation:
Compileanannualboardandcommitteecalendartocoordinatemeetings
andworkplans.Asampleboardandcommitteecalendarison
Pages280281
.

11. Recommendation:
Utilizeaboardmeetingfeedbackformaftereachboardmeetingto
maintainafocusonprioritygovernancematters.Asamplefeedbackformtobeusedattheend
ofeachboardmeetingison
Page112
.

364

Chapter13

ResourcesforBoardBuilding

CriticalBoardBuildingChallenge:Wherecancharterschoolboardsfindtheresources
neededtocontinuouslyenhancetheireffectiveness?

Thischapterincludesaselectedlistoforganizations,publications,Websitesandotherresourcesthat
willbeofgreatusetocharterschoolleaderstowishingtodevelopaneffectivegoverningboard.Each
entrywillbeasourceofuseful,proventools,techniquesandpractices.

Twoboarddevelopmentresourcesstandoutthoughandarehighlyrecommended.Thefirstisa
th
publicationthe
TrusteeHandbook,7
Edition
,availablefromtheNationalAssociationof
IndependentSchools.ThesecondistheNationalCenterforNonprofitBoards,whichpublishesthe
mostextensivecollectionofhighqualitybooksandmonographsonallaspectsofboarddevelopment.
Thesetworesourceshavebeenreferencedthroughoutthegovernanceguidebook.Moreinformation
onthemisprovidedbelow

AlsorefertotheToolsSectionofeachchapterforreferencesthatarerelevanttospecifictopics
addressedinthegovernanceguidebook.

AssociationofGoverningBoardsofUniversitiesandColleges
TheAssociation(AGB)isanationalorganizationprovidinguniversityandcollegepresidents,board
chairsandindividualtrusteesofbothpublicandprivateinstitutionswiththeresourcestheyneedto
enhancetheireffectiveness.Anumberoftheirresourcesareavailabletononmembers.Agoodplaceto
startisthe"frequentlyaskedquestions"pageatwww.agb.org/zrc6.cfm.Therearelinkstoavarietyof
resources.Goto:
www.agb.org
.

OneDupontCircle
Suite400
Washington,DC20036
Phone:(202)2968400
Fax:(202)2237053

BoardCafe
BoardCafeisafreemonthlyemailnewsletteraboutboardissuesandgovernancefromtheSupport
CenterforNonprofitManagement,inpartnershipwiththeVolunteerConsultingGroupofNewYork.
TheBOARDCAFEisonecomponentofBoardMatchPlus+,theSupportCenter'scollaborative
venturewiththeVolunteerCenterofSanFranciscotostrengthentheabilityofindividualstoserveon
nonprofitboards.Tosubscribesendanemailmessagetomsimpson@supportcenter.organdinthe
bodyofthemessagetypeSUBSCRIBEBOARDCAFE.

365


CarverGovernanceDesign
JohnCarverisprobablythebestknownandmostcontroversialwriter,speakerandtraineronthe
subjectofboardgovernance.HismodeliscalledPolicyGovernance.Manyorganizations,including
charterschools,willnotbereadytoadoptthemodelentirely.Stillhisworkwillbeveryusefultothe
boardthatwantstogovernmore,managelessandmeddlenotatall.Heistheauthorofthreebooks(to
becitedintheToolsSectionofChapter1),13monographs(theCarverGuideseries),videos,and
audiotapes.Goto:
http://www.carvergovernance.com
.

CarverGovernanceDesign,Inc.
P.O.Box13007
Atlanta,Georgia303240007USA
Phone:(404)7289444
Fax:(404)7280060

CharterSchoolDevelopmentCenter
TheCenter,oneofthebestknownsourcesoftechnicalassistancetocharterschools,maintainsa
website,offerstraining,aproducesanumberofhighqualitypublications,andprovidesanumberof
downloadablesampledocuments,policypapers,andplanningtools.Amongitspublications,theCenter
offerstheCharterSchoolGovernanceToolkit,FirstEdition.Goto:
www.cacharterschools.org

CaliforniaStateUniversity
InstituteforEducationReform
6000JStreet,FoleyHall,Room317,
Sacramento,CA958196018
Phone:(916)2786069
Fax:(916)2784094

FreeManagementLibrary
Thisonlineresourcewasdeveloped,andismaintained,byCarterMcNamara,MBA,PhD.Hostedby
TheManagementAssistanceProgrambasedinSt.Paul,MN.Thesiteincludesextensiveresources
andlinksintheareaboarddevelopmentthatwillbeveryhelpful.Goto:
http://www.mapnp.org/library

2233UniversityAvenueWest,Suite360
St.Paul,Minnesota55114
Phone:(651)6471216

LearningInstituteforNonprofitOrganizations
TheLearningInstituteisacollaborationofSocietyForNonprofitOrganizationsandtheUniversityof
WisconsinExtension.TheLearningInstituteistheproduceroftheawardwinning
"Excellencein
NonprofitLeadershipandManagement"
satelliteeducationalserieswhichincludesaprogramonboard
developmentaswellasothertopicsthatwillbeofusetoboardleadersofcharterschools.Goto:
www.uwex.edu/li

6314OdanaRoad,Suite1
366


MadisonWI537191141
Phone:(608)2742192or(800)2148326
Fax:(608)2749978

IndependentSchoolsAssociationoftheCentralStates
TheIndependentSchoolsAssociationoftheCentralStates(ISACS)isamembershiporganizationof
over200independentschoolsfromthroughoutthe15statesoftheMidwestregion.Itprovidesarange
ofprogramsandservicestoitsmembers.ItsWebsitecontainsa"Monographs"sectionthatincludes
anexcellentcollectionoftoolsandsampledocumentsforschoolboards.Goto
http://www.isacs.org

1400MapleAvenue
Downer'sGrove,IL60515
Phone:(630)9713581
Fax:(630)9713584

MinnesotaCouncilofNonprofits
Oneoftheoldeststateassociationsofnonprofits,theMinnesotaCouncilhasawellorganizedWebsite
withanumberofresourcesintheareaofboarddevelopmentincludingacollectionofsample
documents.Goto:
www.mncn.org

2700UniversityAve.W.#250
St.Paul,MN55114
Phone:(612)6421904
Fax:(612)6421517

NationalCouncilofNonprofitAssociations
Inmoststates,therearestatecouncilsorassociationsofnonprofitorganizations.Allofthese
organizationsprovidetraining,technicalassistanceandinsomecasesreferralstoconsultantsinaboard
rangeoftopicareasincludingboarddevelopment.Fortheassociationinyourstate,goto
http://www.ncna.org/ncna_statemembers.htm

1900LStreet,NW,Suite605
Washington,DC200365024
Phone:(202)4676262("467NCNA")
Fax:(202)4676261

NationalCenterforNonprofitBoards
TheNationalCenterforNonprofitBoards(NCNB)isthepreeminentresourceforboard
development.Itisdedicatedtoincreasingtheeffectivenessofnonprofitbystrengtheningtheirboardsof
directors.NCNBoffersthemostcompletecollectionofresourcesoneveryaspectofboard
development.Theonlinebookstoreoffersover100booklets,books,videotapes,andaudiotapes.Also
ofspecialnote,istheirnewsletterentitled"BoardMember.Goto:
www.ncnb.org.
Thewebsitealso
includesanexcellent"FrequentlyAskedQuestionsAboutBoardGovernance"pageat
www.ncnb.org/askncnb/faq.htm
.Ifyouhaveadditionalgovernancequestions,youcanemailNCNBor
callthenumbersbelow.
367

1828LStreet,NW,
Suite900,
Washington,DC200365104
Phone2024526262/8008836262
Fax2024526299

NationalAssociationofIndependentSchools
Thisorganizationrepresentsover1100independentschoolsintheUnitedStatesandabroadofferinga
numberofhighqualitypublicationsthatwillbeofgreatusetocharterschoolboards.Oneofthebestis:

TrusteeHandbook:AGuidetoEffectiveGovernanceforIndependentSchoolBoards,7th
Edition

Thisguidetoeffectivegovernancefocusesonthegreatlychangednatureandincreased
responsibilitiesofindependentschooltrusteeshipinrecentyears,withemphasisonthedutiesofboardsandthe
responsibilitiesofindividualtrustees.Includesannotatedprinciplesofgoodpractice,resources,andcase
studies.

1620LStreet,NW
Washington,DC200365605
Phone:(202)9739700
Fax:(202)9739790
www.naisschools.org

NationalSchoolBoardsAssociation
Thisnationalorganizationprovidespublications,research,training,andotherresourcesthatwillbeof
valuetocharterschoolboards.Amongthemanyresourcesavailableatonchargeontheirwebsite,two
standout:

The"EducationLeadershipToolkit:ChangeandTechnologyinAmerica'sSchoolsisawebsite
designedtoputthelatestresearch,casestudies,toolsandapproachesforsuccessfuleducation
technologyintegrationatthetipsofschoolboarddirectors'fingertips.Goto:
http://www.nsba.org/sbot/toolkit/index.html
.YoucanjointheSchoolBoardofTomorrowEmail
Group,anautomatedemailexchangeamongschoolboarddirectorsfromaroundthecountry.Ask
questions,offeradvice,sharestoriesandlearnfromthoseofothers.Goto:
http://www.nsba.org/sbot/sbotreg2.html
.
TheKeyWorkofSchoolBoardsisaplanningtoolthatlinksparentandcommunityinvolvement
strategiestothegoalofimprovedstudentachievement.Thisresourceisdescribedinmoredetailin
Chapter8.Goto:
http://www.nsba.org/keywork
.

NationalSchoolBoardsAssociation
168DrakeStreet
Alexandria,VA22314
Phone:(703)8386722
Fax:(703)6837590

368

NorthwestRegionalEducationalLaboratory(NWREL)
NWRELhaspublishedtheCharterStartersLeadershipTrainingAcademyWorkbook1999.Module
4addressesthetopicsofManagementandGovernance.ItsavailableasaPDFfile.Goto:
http://www.nwrel.org/charter/Workbook99/module4.pdf

NorthwestRegionalEducationalLaboratory
101SWMain,Suite500
Portland,OR97204
Phone:(503)2759500

TheNonprofitZone
TheNonprofitZoneprovidesfreetoolsandresourcestohelporganizationsworkmoreeffectively.The
Websitecontainsgoodlinkstoboarddevelopmentresources.Goto:
http://www.nonprofitzone.com/board.htm

U.S.CharterSchoolsWebsite
ThisWebsitecontinuestobeoneofthemostvaluableresourcesforcharterschoolsinallstagesof
development.Gototheresourcedirectory,thenmanagementresourcesandclickongovernanceand
takeitfromthere.Goto
http://www.uscharterschools.org
.Ofspecialinteresttocharterschool
developersandboarddirectorsisanongoingdiscussiongrouponthetopicofcharterschool
governanceat
http://www.uscharterschools.org/pub/uscs_docs/ia/features.htm
.

369